CHAPTER 11 The Governor

11.010. Salary. [Repealed.]

Compiler’s Notes.

This section (4357-1) was repealed by Acts 1959, ch. 123, § 29. For the present law see KRS 64.480 .

11.020. Mansion.

The Governor shall have the use of the mansion and the furniture therein and premises, free of rent, but the purchase of furniture for the mansion shall be upon the recommendation of the secretary of the Finance and Administration Cabinet and in accordance with KRS Chapter 42.

History. 4357-2: amend. Acts 1958, ch. 17, effective June 19, 1958.

NOTES TO DECISIONS

1.Fee for Tours.

When the Governor and the Cabinet for Finance and Administration agree that the private quarters of the executive mansion be opened to fund-raising tours for the general public conducted by a nonprofit organization and a permit is issued to such effect, their actions are within the statutory grant of authority of this section and KRS Chapters 42, 45, and 56. Commonwealth ex rel. Beshear v. Brown, 672 S.W.2d 675, 1984 Ky. App. LEXIS 602 (Ky. Ct. App. 1984).

This section and the relationship of the state’s chief executive officer to the Commonwealth as employee-tenant to public landlord afford the Governor the discretion to permit a nonprofit organization to conduct tours of the private quarters of the executive mansion for the general public in exchange for a monetary fee. Commonwealth ex rel. Beshear v. Brown, 672 S.W.2d 675, 1984 Ky. App. LEXIS 602 (Ky. Ct. App. 1984).

Research References and Practice Aids

Cross-References.

Accounting and bookkeeping systems, Governor to install uniform, KRS 12.130 .

Act, date of approval to be stated at end, KRS 6.240 .

Active militia, Governor is commander-in-chief of, KRS 37.180 .

Acts of legislature, Governor entitled to copy of, KRS 57.300 .

Administrative departments, general rules of conduct, promulgation by Governor, KRS 12.080 .

Agencies, conflicts between, determination by Governor, KRS 12.100 .

Appointments approved by Governor:

Alcoholic Beverage Control Board, KRS 241.030 .

Alcoholic Beverage Control Office Department, commissioner,KRS 241.015 .

Assistant treasurer to act for state treasurer, KRS 41.060 .

Attorney for Unemployment Insurance Commission, KRS 12.210 .

Cabinet for Health and Family Services, general counsel, KRS 194A.030 .

Cabinet for Health and Family Services, inspector general, KRS 194A.030 .

Cabinet for Health and Family Services, executive director, Office of Health Policy, KRS 194A.030 .

Department of Labor, employees, KRS 336.030 .

Deputy commissioner of financial institutions, KRS 286.1-025 .

Commissioner of financial institutions, KRS 286.1-012 .

Department of Housing, Buildings and Construction, Commissioner, KRS 227.205 .

Finance and Administration Cabinet, Office of the Secretary, executive directors, KRS 42.0145 .

Justice and Public Safety Cabinet, commissioner of Department of Criminal Justice Training, KRS 15A.020 .

Justice and Public Safety Cabinet, commissioner of Department of Juvenile Justice, KRS 15A.020 .

Justice and Public Safety Cabinet, commissioner of Department of State Police, KRS 15A.020 .

Office of Administrative Services, Division Directors, KRS 42.0171 .

Office of Employment and Training, executive director, KRS 151B.280 .

Probation and parole laws, person charged with administration of, KRS 439.310 .

Soil and Water Conservation Commission, KRS 146.090 .

Statutory departments, appointment of deputy heads, KRS 12.050 .

Supervisor of apprenticeship, KRS 343.030 .

Appointments by Governor:

Advisory Board for Veterans’ Affairs, KRS 40.305 .

Advisory Council for Medical Assistance, KRS 205.540 .

Apprenticeship and Training Council, KRS 343.020 .

Archives and Records Commission, KRS 171.420 .

Authority for Educational Television, KRS 168.040 .

Board for Certification of Librarians, KRS 171.240 .

Board for Licensing Specialists in Hearing Instruments, KRS 334.140 .

Board of Barbering, KRS 317.430 .

Board of Claims, hearing officers, KRS 44.070 .

Board of Dentistry, KRS 313.020 .

Board of Education, KRS 156.029 .

Board of Embalmers and Funeral Directors, KRS 316.170 .

Board of Hairdressers and Cosmetologists, KRS 317A.030 .

Board of Nursing, KRS 314.121 .

Board of Pharmacy, KRS 315.150 .

Board of Social Work, KRS 335.050 .

Board of Veterinary Examiners, KRS 321.230 .

Boards of directors for community colleges and community and technical colleges, KRS 164.600 .

Boiler and Pressure Vessel Rules, Board of, KRS 236.020 .

Boxing and Wrestling Authority, KRS 229.151 .

Capital city, planning commission, member, KRS 100.133 .

Commissioners of foreign deeds, KRS 423.070 .

Crime Victims Compensation Board, KRS 346.030 .

Employees retirement system board of trustees, KRS 61.645 .

Environmental Quality Commission, KRS 224.1-100 .

Fish and Wildlife Resources Commission, KRS 150.022 .

Governor’s Financial Policy Council, KRS 147B.100 .

Hemophilia Advisory Committee, KRS 200.560 .

Higher education student loan corporation, KRS 164A.050 .

Horse Racing Commission, KRS 230.225 .

Horse Racing Commission, executive director, 230.230 .

Infrastructure Authority, KRS 224A.030 .

Interstate Water Sanitation Board, KRS 224.18-710 .

Judges, commission to consider retirement, suspension or removal, two members, Ky. Const., § 121.

Judicial nominating commissions, Ky. Const., § 118, KRS 34.010 .

Manufactured Home Certification and Licensure Board, KRS 227.560 .

Mine inspectors, KRS 351.090 .

Mining Board, KRS 351.105 .

Nature Preserves Commission, KRS 146.425 .

Occupational Safety and Health Review Commission, KRS 338.071 .

Occupational Safety and Health Standards Board, KRS 338.051 .

Oil and Gas Conservation Commission, KRS 353.565 .

Oral History Commission, KRS 153.380 .

Parks, commissioner of, KRS 148.011 .

Pest Control Advisory Board, KRS 217B.505(2).

Planning Commission, KRS 100.133 .

Psychologists, board of examiners of, KRS 319.020 .

Public employees deferred compensation board of trustees, KRS 18A.245 .

Public Officials Compensation Commission, KRS 64.742 .

Public Service Commission, KRS 278.050 .

Railroad policemen, KRS 277.270 .

Real Estate Commission, KRS 324.281 .

Registry of election finance, KRS 121.110 .

Special counsel to assist commonwealth’s attorney in civil cases, KRS 69.010 .

Special local peace officers, KRS 61.360 .

State Advisory Council on Libraries, KRS 173.810 .

State Board of Accountancy, KRS 325.230 .

State Board of Chiropractic Examiners, KRS 312.025 .

State Board of Elections, KRS 117.015 .

State Board of Examiners and Registration of Landscape Architects, KRS 323A.150 .

State Board of Medical Licensure, KRS 311.530 .

State Board of Registration for Professional Engineers and Land Surveyors, KRS 322.230 , 322.250 .

State Fair Board, KRS 247.090 .

State Labor Relations Board, KRS 345.120 .

State librarian, KRS 171.130 .

State Plumbing Code Committee, KRS 318.071 .

State treasurer, acting treasurer during suspension of, KRS 41.050 .

Unemployment insurance commission, KRS 341.110 .

Attorneys for state departments, Governor may employ or approve employment of, KRS 12.210 .

Auditor, Governor may require audit by, KRS 43.050 .

Audits, Governor may have audits made, KRS 43.050 , 43.090 .

Bonds of state officers, Governor to fix amounts of, KRS 62.160 .

Bonds to be approved by Governor:

Attorney General, KRS 62.200 .

State depositories, KRS 41.240 , 41.250 .

Books to be delivered to successor, KRS 57.360 .

Commissions to be issued by Governor, Ky. Const., §§ 140, 142, KRS 61.020 .

Congressional representatives, special election, proclamation, KRS 118.720 .

Constitutional provisions as to Governor, Ky. Const., §§ 69 to 90, 95, 96, 228, 240.

Contracts approved by Governor, KRS 57.091 .

Department of Highways, Governor to approve expenditure of funds for printing and dissemination of information concerning highways, KRS 176.055 .

Election of U.S. Senator to be certified to President of United States Senate, KRS 118.465 .

Election, writ of to fill vacancy in General Assembly, KRS 118.730 .

Executive journal, resignations to be entered in, KRS 63.010 .

Executive journal, state depositories to be entered on, KRS 41.220 .

Forest reserves, Governor must consent to acquisition by United States of, KRS 3.080 .

Forfeiture of charter of bridge company, Governor may institute proceedings for, KRS 280.990 .

Handicapped children, report on activities of Cabinet for Human Resources regarding, KRS 200.480 .

Interstate compacts or agreements, Governor’s control over, KRS 12.240 .

Journals of General Assembly, Governor entitled to copy, KRS 57.310 .

Judicial nominating commissions, appointment, Ky. Const., § 118.

Justice of the peace, Governor may authorize to perform marriage, KRS 402.050 .

Kentucky State Fair Board, Governor member of, KRS 247.090 .

Labor, cooperative agreements as to, to be approved by Governor, KRS 336.120 .

Law, Governor not to practice, KRS 11.120 .

Lease of land for charitable or correctional institution to be approved by Governor, KRS 196.120 .

Militia, officers of appointed by Governor, Ky. Const., § 222.

Militia, powers and duties of Governor with respect to, KRS Chapters 36, 37 and 38.

Pardons, Ky. Const., §§ 77, 240.

Peace officer, reinstatement by Governor, KRS 63.160 .

Printing contracts to be approved by Governor, Ky. Const., § 247; KRS 57.091 .

Prisoners, contracts for employment of to be approved by Governor, KRS 197.160 .

Removals by Governor:

Boxing and Wrestling Authority, KRS 229.151 .

Officers appointed by Governor, KRS 63.080 .

Peace officer, for neglect of duty, KRS 63.090 to 63.130 .

Peace officer, for permitting prisoner to be lynched, KRS 63.140 .

Planning Commission, KRS 100.133 .

Public Service Commission, KRS 278.070 .

State Police Personnel Board, KRS 16.050 .

State treasurer, suspension of, KRS 41.050 .

Reorganization powers of Governor, KRS 12.027 , 12.028 .

Reports and recommendations to General Assembly:

Budget, message and report, KRS 48.100 .

Finances and operations of state, KRS 12.110 .

Message to General Assembly, Ky. Const., § 79.

Reports to Governor:

Auditor, KRS 43.050 , 43.090 .

Administrative departments, KRS 12.110 , 12.130 .

Banks to report rates of exchange, KRS 360.080 .

Child welfare, KRS 200.100 .

Department of Mines and Minerals, KRS 351.160 .

Financial condition of state, KRS 48.400 .

Geological survey, KRS 151.040 .

Handicapped children, report of Commission for Children with Special Health Care Needs, KRS 200.480 .

Highways, Department of, upon turnpike activities, KRS 177.530 .

State fair board building and improvement fund, KRS 247.190 .

Legislative Research Commission, KRS 7.110 .

Officers, Governor may require information from, Ky. Const., § 78.

Psychologists, Board of Examiners of, KRS 319.030 .

State Board of Registration of Professional Engineers, KRS 322.310 .

State Fair Board, audit of, KRS 247.190 .

State treasurer, KRS 41.310 , 41.320 , 41.340 .

Workers’ Compensation Board, KRS 342.435 .

Requisition for return of fugitive, KRS 440.090 .

Rewards for return of fugitive, KRS 440.100 , 440.110 .

Salary of Governor, KRS 64.480 .

Secretary of state’s bond to be filed with Governor, KRS 62.200 .

Separation of governmental powers, Ky. Const., §§ 27, 28.

State Fair Board, Governor is member of, KRS 247.090 .

State planning function of Governor’s cabinet, KRS 147.070 to 147.120 .

State Property and Buildings Commission, Governor is chairman of, KRS 56.450 .

State seal, official acts of Governor to be attested by, KRS 14.040 .

Treasurer, Governor may require exhibit of books, accounts and cash, KRS 41.310 , 41.320 .

Treasurer, Governor may suspend, KRS 41.050 .

Treasury, Governor may require statement of condition of, KRS 41.320 .

Turnpike projects of Department of Highways, Governor to approve, KRS 177.410 .

Vacancies filled by Governor:

Militia, Ky. Const., § 222.

Offices for which there is no other provision for filling vacancy, Ky. Const., §§ 76, 152; KRS 63.190 .

United States Senator, KRS 63.200 .

Writ of election to fill vacancy in General Assembly, KRS 118.730 .

Vacancy in county judge/executive, governor notified, KRS 63.210 .

Vacancy in office of Governor, KRS 118.710 .

Warrant for apprehension of fugitive, KRS 440.220 , 440.230 .

Warrant for execution of condemned prisoner, KRS 431.240 .

11.025. Mansion committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 253, §§ 1-6; 1976, ch. 62, § 5) was repealed by Acts 1980, ch. 388, § 3, effective July 15, 1980.

11.026. Historic Properties Advisory Commission — Historic properties endowment trust fund — Separate trust fund.

  1. As used in this section, “state curator” means the director of the Division of Historic Properties within the Department for Facilities and Support Services in the Finance and Administration Cabinet with responsibilities for the preservation, restoration, acquisition, and conservation of all decorations, objects of art, chandeliers, china, silver, statues, paintings, furnishings, accouterments, and other aesthetic materials that have been acquired, donated, loaned, and otherwise obtained by the Commonwealth of Kentucky for the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, the New State Capitol, and other historic properties under the control of the Finance and Administration Cabinet.
  2. The Historic Properties Advisory Commission is established to provide continuing attention to the maintenance, furnishings, and repairs of the Executive Mansion, Old Governor’s Mansion, the Vest Lindsey House, and New State Capitol. The commission shall be attached to the Finance and Administration Cabinet for administrative purposes.
  3. The commission shall consist of fourteen (14) members, one (1) of whom shall be the director of the Kentucky Heritage Council. It is recommended that one (1) shall be the state curator, one (1) shall be the executive director of the Kentucky Historical Society, one (1) shall be a resident of Franklin County with experience in restoration, one (1) shall be the director of the Executive Mansion, one (1) shall be the director of the Old Governor’s Mansion, and the remainder of the membership shall be selected from the state-at-large from persons with experience in historical restoration.
  4. The officers of the commission shall consist of a chairman, who shall be appointed by the Governor, and a secretary, who shall be responsible for the keeping of the records and administering the directions of the commission. The state curator of the Commonwealth of Kentucky shall serve as the secretary of the commission. A member of the Governor’s family may serve as an honorary, nonvoting member of the commission. A simple majority of the membership shall constitute a quorum for the transaction of business by the commission.
  5. The public members of the commission shall be appointed by the Governor and shall serve terms of four (4) years except that of the members initially appointed, two (2) members shall serve terms of one (1) year; two (2) members shall serve terms of two (2) years; one (1) member shall serve a term of three (3) years; and one (1) member shall serve a term of four (4) years. The executive director of the Historical Society and director of the Executive Mansion shall serve on the commission in an ex officio capacity. The persons holding the offices of executive director of the Historical Society, director of the Executive Mansion, director of the Kentucky Heritage Council, and state curator shall serve terms concurrent with holding their respective offices.
  6. Each commission member shall be reimbursed for his necessary travel and other expenses actually incurred in the discharge of his duties on the commission.
  7. There is established in the State Treasury a historic properties endowment trust fund which shall be administered by the director of the Division of Historic Properties under the supervision of the Commissioner of the Department for Facilities and Support Services. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasurer upon warrant of the secretary of finance and administration. The fund shall be used for carrying out the functions of the Division of Historic Properties. The Division of Historic Properties may publish written material pertaining to historic properties of the state and charge and collect a reasonable fee for any such publications. The proceeds shall be deposited to the credit of the fund and after paying the costs of publication, the balance of the proceeds shall be used for purposes specified in KRS 11.027 .
  8. In addition to the historic properties endowment trust fund, there shall be established in the State Treasury a separate and distinct endowment trust fund known as the Ida Lee Willis-Vest Lindsey House endowment trust fund, which shall be jointly administered by the director of the Kentucky Heritage Council and the director of the Division of Historic Properties under the supervision of the commissioner of the Department for Facilities and Support Services. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasurer upon warrant of the secretary of finance and administration. The fund shall be used solely for the benefit of, or related to, the Vest Lindsey House, including but not limited to building maintenance and repairs, structural restoration or renovation, acquisition and maintenance of furnishings or decorations, and the development of interpretative materials regarding the historical and architectural significance of the Vest Lindsey House and its relation to other sites in the North Frankfort area. The creation of the Ida Lee Willis-Vest Lindsey House endowment trust fund is intended to be a supplemental source of funds and in no way restricts the expenditure of funds from the historic properties endowment trust fund or any state fund for the benefit of the Vest Lindsey House.

HISTORY: Enact. Acts 1980, ch. 388, § 1, effective July 15, 1980; 1984, ch. 254, § 1, effective July 13, 1984; 1988, ch. 101, § 1, effective July 15, 1988; 1994, ch. 176, § 4, effective July 15, 1994; 2005, ch. 85, § 26, effective June 20, 2005; 2008, ch. 24, § 2, effective July 15, 2008; 2015 ch. 69, § 2, effective June 24, 2015.

Opinions of Attorney General.

Under the common-law definition of dwelling house, the jurisdiction of the Mansion Commission extends to the immediate grounds used in connection with the Executive Mansion, to the extent applicable under this section and KRS 11.027 . OAG 83-21 .

11.027. Meetings of commission — Duties.

  1. The commission shall meet at least every six (6) months and when called into session by the chairman at the request of the Governor, of any two (2) or more members of the commission, or on his own motion.
  2. The commission shall examine the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, and the New State Capitol at least once each year, and the commission shall have authority over any construction, repairs, structural restoration, or renovation of these properties. The commission shall supervise the maintenance of a current inventory of all furnishings in the properties and the inventory shall be maintained by the Division of Historic Properties in the Department for Facilities and Support Services in the Finance and Administration Cabinet. The Division of Historic Properties shall maintain inventory records relating to all such property of the state and no such property shall be disposed of except upon recommendation of the director of the Division of Historic Properties with advice of the Historic Properties Advisory Commission. The proceeds realized from the sale of any items shall be deposited in the historic properties endowment fund, established by KRS 11.026 , except that the proceeds realized from the sale of any items derived from, or related to, the Vest Lindsey House shall be deposited in the separate and distinct Ida Lee Willis-Vest Lindsey House endowment trust fund, established by KRS 11.026 (8).
  3. The commission shall recommend, from time to time, on the needs for furnishings, maintenance, repair, or renovation of the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, and the New State Capitol; and the Department for Facilities and Support Services in the Finance and Administration Cabinet shall, from funds available, take the action recommended. The commission shall have final authority over articles placed in the properties and moneys spent on these buildings, except that the Kentucky Heritage Council shall have final authority over any moneys spent from the Ida Lee Willis-Vest Lindsey House endowment trust fund. The commission shall develop criteria for this display of objects on and for the use of the public areas of the basement and first and second floors of the New State Capitol and shall be consulted by the director of the Division of Historic Properties before objects are accepted for or removed from permanent display in the Capitol.
  4. The commission shall provide coordination and make arrangements for an orderly transition between outgoing and incoming chief executives.

History. Enact. Acts 1980, ch. 388, § 2, effective July 15, 1980; 1984, ch. 254, § 2, effective July 13, 1984; 1994, ch. 176, § 5, effective July 15, 1994; 2005, ch. 85, § 27, effective June 20, 2005; 2008, ch. 24, § 3, effective July 15, 2008.

Opinions of Attorney General.

Under the common-law definition of dwelling house, the jurisdiction of the Mansion Commission extends to the immediate grounds used in connection with the Executive Mansion, to the extent applicable under KRS 11.026 and this section. OAG 83-21 .

The words “moneys spent on mansion” in subsection (3) of this section are clear and unambiguous and mean, as the legislature clearly intended, any moneys from any source spent on mansion restoration. OAG 83-21 (Opinion prior to 1984 amendment).

The Mansion Commission’s authority extends to giving final approval on all moneys spent on mansion restoration, including final approval of gifts and donations made by private (nongovernment) entities to the Mansion Commission. OAG 83-21 .

11.030. Private secretary. [Repealed.]

Compiler’s Notes.

This section (4357-3, 4618-147) was repealed by Acts 1956, ch. 27, § 1.

11.031. Gift shop in New State Capitol.

  1. As used in this section:
    1. “Resident of Kentucky” means an individual who resides in the Commonwealth of Kentucky or an entity that manufactures, produces, or otherwise makes goods within the Commonwealth; and
    2. “Products made in the United States” means goods manufactured, produced, or otherwise made in the United States of America.
  2. The Finance and Administration Cabinet may establish a gift shop in the public areas of the New State Capitol. All goods sold in the gift shop shall be products made in the United States. Not less than fifty percent (50%) of the gift shop’s inventory shall be products made by residents of Kentucky.

History. Enact. Acts 1996, ch. 30, § 1, effective July 15, 1996.

11.040. Personnel for Governor’s office — Office of Secretary of the Governor’s Executive Cabinet.

  1. The Governor may appoint such persons as he deems necessary for the proper operation of his office to perform such duties as the Governor may require of them. The persons so appointed shall hold office at the pleasure of the Governor. None of the provisions of KRS 64.640 shall be applicable to persons appointed under this subsection.
  2. There is hereby created an agency of the state government to be known as the Office of the Secretary to the Governor’s Executive Cabinet. The Office of the Secretary to the Governor’s Executive Cabinet shall not be part of the Office of the Governor, but shall constitute a separate agency of state government. The secretary so appointed shall have such rights, duties and responsibilities as may be assigned by the Governor.
  3. The position of secretary to the Governor’s Executive Cabinet shall be filled by appointment of the Governor and shall serve at the pleasure of the Governor. The secretary shall be responsible for implementing all policies of the Governor, coordinating all activities of the Governor’s Executive Cabinet, and advising and consulting with the Governor on all policy matters affecting the state.
  4. The Office of the Secretary to the Governor’s Executive Cabinet shall include such principal assistants, appointed by the secretary of the cabinet pursuant to KRS 12.050 , as may be necessary to execute the functions of the office.

History. 3942f-1 to 3942f-3; amend. Acts 1956, ch. 27, § 2, effective May 18, 1956; 1982, ch. 393, § 1, effective July 15, 1982.

Opinions of Attorney General.

Where the Governor appointed a person to serve in two capacities: (1) as the Secretary of Justice under KRS 15A.010 (now repealed), whose salary is statutorily limited by KRS 64.640(2), and (2) as special assistant to the Governor, with specifically assigned duties under this section, separate and distinct from his duties as Secretary of Justice, that appointee’s total compensation should reflect his duties involved in both positions since the two positions are mutually exclusive, and since KRS 64.640(2) imposes no limitation on his salary as a special assistant under this section. OAG 80-265 .

A member of the turnpike authority may not send a proxy, with voting power, to meetings of the turnpike authority in the absence of statutory authority granting him such delegating power; the governor (pursuant to this section), the Attorney General (pursuant to KRS 15.100(1)), and the Secretary of Development (pursuant to executive order no. 80-190) can, in writing, designate a proxy to attend the turnpike authority meetings with full voting power. OAG 80-376 .

11.050. Messenger’s allowance. [Repealed.]

Compiler’s Notes.

This section (345) was repealed by Acts 1986, ch. 407, § 1, effective July 15, 1986.

11.060. Governor’s General Cabinet.

  1. The heads of the constitutional and statutory administrative departments and program cabinet secretaries enumerated in KRS 12.020 shall constitute the Governor’s General Cabinet, which shall meet upon the call of the Governor. The Governor shall be the chairman and the Governor’s private secretary shall serve as secretary of the General Cabinet. The General Cabinet shall be attached to the Office of the Governor and shall not constitute a separate department or agency of the state.
  2. The cabinet shall consider such matters involving general administrative policies and procedure, relations between departments and other agencies and desirable measures of cooperation between departments and other agencies, as the Governor or any member may place before it; shall advise and consult with the Governor at his request on all matters affecting the welfare of the state and relating to the several departments, program cabinets and other agencies.

History. 4618-147: amend. Acts 1974, ch. 74, Art. I, § 1.

NOTES TO DECISIONS

Cited in:

Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977); Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Research References and Practice Aids

Cross-References.

State planning, KRS 147.070 to 147.120 .

Kentucky Bench & Bar.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits,. Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

11.065. Governor’s Executive Cabinet.

  1. The secretaries of the Justice and Public Safety Cabinet, the Education and Labor Cabinet, the Public Protection Cabinet, the Transportation Cabinet, the Cabinet for Economic Development, the Cabinet for Health and Family Services, the Finance and Administration Cabinet, the Energy and Environment Cabinet, the Tourism, Arts and Heritage Cabinet, the Personnel Cabinet, the Governor’s Executive Cabinet, the chief information officer, the state budget director, the Governor’s chief of staff, and the Lieutenant Governor shall constitute the Governor’s Executive Cabinet. There shall be a vice chairman appointed by the Governor who shall serve in an advisory capacity to the Executive Cabinet. The Governor shall be the chairman, and the secretary of the Finance and Administration Cabinet shall be a second vice chairman of the Executive Cabinet. The Governor may designate others to serve as vice chairman.
  2. The cabinet shall meet not less than once every two (2) months and at other times on call of the Governor. The Executive Cabinet shall be a part of the Office of the Governor and shall not constitute a separate department or agency of the state. Members of the cabinet shall be the major assistants to the Governor in the administration of the state government and shall assist the Governor in the proper operation of his office and perform other duties the Governor may require of them.
  3. The cabinet shall consider matters involving policies and procedures the Governor or any member may place before it. The cabinet shall advise and consult with the Governor on all matters affecting the welfare of the state.

History. Enact. Acts 1974, ch. 74, Art. I, § 2; 1978, ch. 155, § 1, effective June 17, 1978; 1978, ch. 186, § 19, effective March 29, 1978; 1980, ch. 295, § 1, effective July 15, 1980; 1982, ch. 379, § 2, effective April 9, 1982; 1982, ch. 393, § 2, effective July 15, 1982; 1982, ch. 396, § 1, effective July 15, 1982; 1984, ch. 404, § 6, effective July 13, 1984; 1984, ch. 414, § 1, effective July 13, 1984; 1988, ch. 205, § 1, effective July 15, 1988; 1990, ch. 325, § 19, effective July 13, 1990; 1992, ch. 211, § 3, effective July 14, 1992; 1994, ch. 209, § 7, effective July 15, 1994; 1996, ch. 279, § 1, effective July 15, 1996; 1998, ch. 48, § 1, effective July 15, 1998; 1998, ch. 154, § 1, effective July 15, 1998; 1998, ch. 426, § 60, effective July 15, 1998; 2005, ch. 85, § 4, effective June 20, 2005; 2005, ch. 95, § 1, effective June 20, 2005; 2005, ch. 99, § 1, effective June 20, 2005; 2005, ch. 123, § 1, effective June 20, 2005; 2006, ch. 211, § 1, effective July 12, 2006; 2007, ch. 85, § 3, effective June 26, 2007; 2009, ch. 11, § 1, effective June 25, 2009; 2009, ch. 16, § 1, effective June 25, 2009; 2010, ch. 24, § 4, effective July 15, 2010; 2014, ch. 89, § 8, effective July 15, 2014; 2014, ch. 138, § 1, effective July 15, 2014; 2022 ch. 236, § 5, effective July 1, 2022.

Legislative Research Commission Notes.

(7/15/2014). This statute was amended by 2014 Ky. Acts chs. 89, sec. 8, and 138, sec. 1, which are identical and have been codified together.

NOTES TO DECISIONS

1.Secretary’s Authority.

As the Secretary is a member of the executive cabinet, he is authorized and required to assist the Governor in his duties; accordingly, the Governor has the authority to order the Secretary to bring a suit to enforce the laws of Kentucky and the Secretary has the right to retain private counsel to assist him in so doing. Stars Interactive Holdings (IOM Ltd. v. Commonwealth ex rel. Tilley, 2018 Ky. App. LEXIS 321 (Ky. Ct. App. Dec. 21, 2018, sub. op., 2018 Ky. App. Unpub. LEXIS 980 (Ky. Ct. App. Dec. 21, 2018).

Cited in:

Ex parte Farley, 570 S.W.2d 617, 1978 Ky. LEXIS 390 ( Ky. 1978 ).

11.066. Creative Services Branch in the Office of the Governor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 159, § 1) was repealed by Acts 1994, ch. 216, § 1, effective July 15, 1994.

11.068. Office of State Budget Director — Organizational units — Duties, rights, and responsibilities.

  1. There is created an agency of state government known as the Office of State Budget Director. The office shall be attached for administrative purposes to the Office of the Governor.
  2. The office shall include the following major organizational units:
    1. The Office of State Budget Director, headed by the state budget director. The state budget director shall be appointed by the Governor pursuant to KRS 11.040 and shall serve, under direction of the Governor, as state budget director and secretary of the state planning committee. The office shall include such principal assistants and supporting personnel appointed pursuant to KRS Chapter 12 as may be necessary to carry out the functions of the office. The office shall have such duties, rights, and responsibilities as are necessary to perform, without being limited to, the following functions:
      1. Functions relative to the preparation, administration, and evaluation of the executive budget as provided in KRS Chapters 45 and 48 and in other laws, including but not limited to, capital construction budgeting, evaluation of state programs, program monitoring, financial and policy analysis and issue review, and executive policy implementation and compliance;
      2. Continuous evaluation of statewide management and administrative procedures and practices, including but not limited to economic forecasting, technical assistance to state agencies, forms control, and special analytic studies as directed by the Governor; and
      3. Staff planning functions of the state planning committee and evaluation of statewide management and administrative practices and procedures.
    2. Governor’s Office for Policy and Management, headed by the state budget director. The state budget director shall maintain staff employed pursuant to KRS Chapter 18A sufficient to carry out the functions of the office relating to state budgeting as provided in paragraph (a) of this subsection and state planning as provided in KRS Chapter 147, review of administrative regulations proposed by executive agencies prior to filing pursuant to KRS Chapter 13A and such other duties as may be assigned by the Governor.
    3. Governor’s Office for Policy Research, headed by the state budget director. The Governor’s Office for Policy Research shall assist the state budget director in providing policy research data, information, and analysis to the Governor on public policy issues that impact the Commonwealth. The state budget director shall identify and direct the research to be completed and provided by the office. The state budget director shall maintain staff employed in accordance with KRS Chapter 18A sufficient to carry out the functions of the office.
    4. Governor’s Office for Economic Analysis, headed by the state budget director. The state budget director shall maintain staff employed in accordance with KRS Chapter 18A sufficient to carry out the functions of the office. The Governor’s Office for Economic Analysis shall carry out the revenue estimating and economic analysis functions and responsibilities, including but not limited to the functions and responsibilities assigned to the Office of State Budget Director by KRS Chapter 48. The Governor’s Office for Economic Analysis shall perform the tax administrative function of using tax data to provide the Department of Revenue with studies, projections, statistical analyses, and any other information that will assist the Department of Revenue in performing its tax administrative functions.

HISTORY: Enact. Acts 1984, ch. 186, § 1, effective July 13, 1984; 1996, ch. 279, § 2, effective July 15, 1996; 2000, ch. 46, § 1, effective July 14, 2000; 2005, ch. 85, § 28, effective June 20, 2005; 2009, ch. 78, § 23, effective June 25, 2009; 2017 ch. 53, § 1, effective June 29, 2017.

11.070. Governor may employ skilled or professional services.

The Governor may employ reputable, qualified, experienced auditors, accountants, clerks, bookkeepers and any other skilled or professional services to perform any service which the Governor deems proper and may direct.

History. 4618-170, 4618-173.

Research References and Practice Aids

Cross-References.

Attorneys, Governor may employ or approve employment of, KRS 12.210 .

11.080. Definition of agency.

As used in KRS 11.090 to 11.110 , “agency” includes any department, program cabinet, institution, board, commission, office or agency of the state.

History. Amend. Acts 1974, ch. 74, Art. I, § 3.

Compiler’s Notes.

This section was originally created to clarify KRS 11.090 to 11.110 .

11.090. Audit, study or survey of state agencies.

The Governor may, at any time, cause to be made a comprehensive and complete audit, study or survey of any agency of the state. The audit, study or survey shall extend back over such period of time as the Governor deems necessary to reveal the true financial condition of the agency, and shall be of such character as to ascertain any waste, duplication of efforts, useless or unnecessary offices or positions, faulty or inadequate systems of bookkeeping or accounting, improper budgeting, and all other facts deemed necessary by the Governor.

History. 4618-170.

Research References and Practice Aids

Cross-References.

Governor may require auditor to make audits, KRS 43.050 , 43.090 .

Governor may require information from officers, Ky. Const., § 78.

Governor to install uniform accounting and bookkeeping systems, KRS 12.130 .

Investigations and studies by Finance and Administration Cabinet, KRS 45.131 , 45.142 .

Legislative Research Commission, studies by, KRS 7.100 .

11.100. Right to information — Access to records.

Any person employed by the Governor under the provisions of KRS 11.070 may, when authorized in writing by the Governor, require information on oath of any person touching any matter relative to any account which he is required to examine, study or audit. Any person having such written authority shall also have free and full access to all books, files, records and accounts of every agency of the state, useful for the full and complete performance of the duties assigned to him by the Governor.

History. 4618-171.

Research References and Practice Aids

Cross-References.

Power of employees of departments to swear and examine witnesses, KRS 12.120 .

11.110. Compensation — From what fund paid.

The Governor shall fix the compensation of persons employed by him under the provisions of KRS 11.040 and 11.070 . If the services of the persons employed are rendered in or to any particular agency, their compensation and expenses may be charged to and paid out of the appropriation of that agency, when certified to the Finance and Administration Cabinet by the head of the agency and approved by the Governor. If there is no appropriation to the agency from which such compensation and expenses can properly be paid, the Governor may direct that they be paid out of the Governor’s emergency fund.

History. 4618-172: amend. Acts 1956, ch. 27, § 3, effective May 18, 1956; Acts 1974, ch. 74, Art. II, § 9(1).

11.120. Practice of law prohibited.

The Governor and the Lieutenant Governor shall not engage in the practice of law during their terms of office.

History. Enact. Acts 1976, ch. 58, § 1.

11.150. Negotiations with Indiana, Ohio, or Illinois — Ratification of agreements.

The Governor is expressly authorized to negotiate with the appropriate authorities of Indiana, Ohio, or Illinois and to ratify any agreements with Indiana, Ohio, or Illinois, including but not limited to any agreements governing the registration of motor boats or the operation, equipment or safety of any vessel as defined in KRS 235.010 , which may be needed as a result of the decision of the Supreme Court of the United States in Kentucky v. Indiana, No. 81, Original, or the decision of the Supreme Court of the United States in Ohio v. Kentucky, No. 27, Original.

History. Enact. Acts 1986, ch. 272, § 4, effective July 15, 1986.

11.160. Procedure for General Assembly confirmation of appointments by the Governor or other appointing authority.

  1. When a statute specifically requires Senate confirmation of an appointment by the Governor or by other appointing authority, the appointment shall be handled in the following manner:
    1. All names of persons nominated when the General Assembly is not in session shall be submitted for confirmation no later than the next regular session of the General Assembly. The Governor who makes the appointment, or other appointing authority, shall deliver the name of the nominee to the clerk of the Senate upon appointment or no later than the fifteenth legislative day of the next regular session of the General Assembly. The Governor may submit a nominee for confirmation at any special session that occurs between the date of initial appointment and the next regular session of the General Assembly. If the Governor desires to submit the name of a nominee for confirmation at a special session of the General Assembly, he shall place confirmation of the nominee on the call for special session.
    2. All names of persons nominated to positions during a regular session of the General Assembly shall be submitted for confirmation at that regular session. The Governor who makes the appointment, or other appointing authority, shall submit the name of the nominee, together with such accompanying information as may expedite the consideration of the appointment to the clerk of the Senate not more than three (3) legislative days after making the appointment, unless the appointment is made during the last fifteen (15) legislative days, in which case the nominee’s name and information shall be submitted not more than one (1) legislative day later.
    3. For each nominee, the Governor who makes the appointment, or other appointing authority, shall deliver to the clerk of the Senate a letter of appointment. The letter of appointment shall be accompanied by a resume which contains at least the following information:
      1. Complete employment history of the nominee;
      2. Complete educational background of the nominee; and
      3. Current and past employment by or financial relationships with the Commonwealth of Kentucky or any of its political subdivisions held by the nominee and any member of the nominee’s immediate family.
    4. When a statute requires an interim legislative committee to hold a public hearing on a particular appointment, the Governor who makes the appointment, or other appointing authority, shall deliver the letter of appointment and resume for each nominee to the Legislative Research Commission within seven (7) days after making the appointment.
    5. The Legislative Research Commission may utilize the services of its staff or other appropriate persons or organizations to investigate the background of nominees and to verify the information provided. The Department of Kentucky State Police shall conduct and provide a criminal record history on a nominee if requested by the Legislative Research Commission.
    6. During periods when the General Assembly is not in session, the Governor’s or other appointing authority’s power of appointment shall not be diminished, and nominees may assume the responsibilities of the position pending confirmation. During that period, they shall be considered for all purposes to have been appointed and to be lawful occupants of the post to which they have been nominated, except that they shall be subject to the confirmation process when the General Assembly is next in regular session or special session called for the purpose of confirming the nominees.
    7. If the Governor who makes the appointment, or other appointing authority, fails to submit the name of the nominee or if the Senate declines to consider a nominee, the position shall become vacant as of sine die adjournment of the applicable special or regular session of the General Assembly at which the appointment was to be confirmed. If the Senate declines to confirm the nominee, the position shall become vacant upon the date the Senate declined to confirm.
    8. Any person not confirmed by the Senate shall not be reappointed by the Governor, or other appointing authority, to the same position for which confirmation is required for a period of two (2) years from the date the Senate declined to confirm the nomination or the date of sine die adjournment if the Senate declined to consider the nomination.
  2. When a statute specifically requires Senate and House of Representatives confirmation of an appointment by the Governor or by other appointing authority, the appointment shall be handled in the following manner:
    1. All names of persons nominated when the General Assembly is not in session shall be submitted for confirmation no later than the next regular session of the General Assembly. The Governor who makes the appointment, or other appointing authority, shall deliver the name of the nominee to the clerk of the House of Representatives no later than the fifteenth legislative day of the next regular session of the General Assembly. The Governor may submit a nominee for confirmation at any special session that occurs between the date of initial appointment and the next regular session of the General Assembly. If the Governor desires to submit the name of a nominee for confirmation at a special session of the General Assembly, he shall place confirmation of the nominee on the call for special session.
    2. All names of persons nominated to positions during a regular session of the General Assembly shall be submitted for confirmation at that regular session. The Governor who makes the appointment, or other appointing authority, shall submit the name of the nominee to the clerk of the House of Representatives not more than three (3) legislative days after making the appointment, unless the appointment is made during the last fifteen (15) legislative days, in which case the nominee’s name and information shall be submitted not more than one (1) legislative day later.
    3. For each nominee, the Governor who makes the appointment, or other appointing authority, shall deliver to the clerk of the House of Representatives a letter of appointment. The letter of appointment shall be accompanied by a resume which contains at least the following information:
      1. Complete employment history of the nominee;
      2. Complete educational background of the nominee; and
      3. Current and past employment by or financial relationships with the Commonwealth of Kentucky or any of its political subdivisions held by the nominee and any member of the nominee’s immediate family.
    4. When a statute requires an interim legislative committee to hold a public hearing on a particular appointment, the Governor who makes the appointment, or other appointing authority, shall deliver the letter of appointment and resume for each nominee to the Legislative Research Commission within seven (7) days after making the appointment.
    5. The Legislative Research Commission may utilize the services of its staff or other appropriate persons or organizations to investigate the background of nominees and to verify the information provided. The Department of Kentucky State Police shall conduct and provide a criminal record history on a nominee if requested by the Legislative Research Commission.
    6. The confirmation shall originate in the House of Representatives. If the House of Representatives does not confirm an appointment, the Senate shall not consider the appointment.
    7. When both the Senate and the House of Representatives have confirmed an appointment, the Senate shall notify the House of Representatives of the final approval. The clerk of the House shall then notify the Governor, or other appointing authority, and the appointee in writing of the General Assembly’s action.
    8. During periods when the General Assembly is not in session, the Governor’s or other appointing authority’s power of appointment shall not be diminished, and nominees may assume the responsibilities of the position pending confirmation. During that period, they shall be considered for all purposes to have been appointed and to be lawful occupants of the post to which they have been nominated, except that they shall be subject to the confirmation process when the General Assembly is next in regular session or special session called for the purpose of confirming the nominees.
    9. If the Governor who makes the appointment, or other appointing authority, fails to submit the name of the nominee or if the House of Representatives or the Senate declines to consider a nominee, the position shall become vacant as of sine die adjournment of the regular session of the General Assembly at which the appointment was to be confirmed. If the House of Representatives or the Senate declines to confirm the nominee, the position shall become vacant upon the date that a chamber of the General Assembly first declined to confirm.
    10. Any person not confirmed by the House of Representatives or the Senate shall not be reappointed by the Governor, or other appointing authority, to the same position for which confirmation is required for a period of two (2) years from the date that a chamber of the General Assembly first declined to confirm the nomination, or the date of sine die adjournment if the House of Representatives or the Senate declined to consider the nomination.

History. Enact. Acts 1990, ch. 505, § 1, effective April 13, 1990; 1992, ch. 415, § 1, effective July 14, 1992; 1994, ch. 26, § 1, effective July 15, 1994; 2007, ch. 85, § 4, effective June 26, 2007.

NOTES TO DECISIONS

1.Effect of Action of Appointee Prior to Confirmation.

As of July 14, 1992, KRS 342.230(5) and subsection (1) of this section authorized an Administrative Law Judge (ALJ) to assume the responsibilities of the position of ALJ pending confirmation by the Senate. Bullock v. Peabody Coal Co., 882 S.W.2d 676, 1994 Ky. LEXIS 83 ( Ky. 1994 ).

Decision by administrative law judge (ALJ), who had been appointed but not confirmed by the Senate when the decision was rendered, was not void. Bullock v. Peabody Coal Co., 882 S.W.2d 676, 1994 Ky. LEXIS 83 ( Ky. 1994 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Terry and Edens, Workers’ Compensation Procedural Changes — An ALJ Perspective, Vol. 58, No. 4, Fall 1994, Ky. Bench & Bar 12.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits, Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

11.170. Kentucky Agriculture Resources Development Authority. [Repealed]

History. Enact. Acts 1994, ch. 274, § 1, effective July 15, 1994; 2009, ch. 27, § 1, effective June 25, 2009; 2009, ch. 32, § 1, effective June 25, 2009; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 274, § 1, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

11.175. Each cabinet to designate small business ombudsman — Contact information — Annual report to Commission on Small Business Innovation and Advocacy.

  1. Each cabinet secretary on the Governor’s Executive Cabinet, established pursuant to KRS 11.065 , shall designate a small business ombudsman from among their respective existing cabinet employees.
  2. The small business ombudsman shall:
    1. Respond to inquiries from small businesses on administrative regulations and other regulatory matters; and
    2. Provide information regarding the procedure for submitting comments on administrative regulations as provided by KRS 13A.270(1).
  3. Each cabinet shall provide contact information for the cabinet’s small business ombudsman on the cabinet’s Web site, including the ombudsman’s name, telephone number, mailing address, and e-mail address.
  4. No later than December 1 of each year, each small business ombudsman shall submit a report to the Commission on Small Business Innovation and Advocacy, established pursuant to KRS 11.200 , summarizing the number and nature of inquiries that the ombudsman has received from small businesses during the previous twelve (12) months.

HISTORY: Enact. Acts 2006, ch. 166, § 4, effective July 12, 2006; 2021 ch. 185, § 95, effective June 29, 2021.

Kentucky Appalachian Commission

11.180. Kentucky Appalachian Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 1; 2005, ch. 95, § 2) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.182. Membership — Reimbursement of expenses — Designation of alternate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 2; 2000, ch. 26, § 1; 2005, ch. 95, § 3; 2005, ch. 99, § 2; 2006, ch. 211, § 2) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.184. Officers — Duties — Annual report. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 3) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.190. Governor’s Commission on Sports, Physical Activity, and Wellness — Membership — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 116, § 1, effective July 15, 1998.) was repealed by Act 2005, ch. 10, § 2, effective June 20, 2005.

Commission on Small Business Innovation and Advocacy

11.200. Commission on Small Business Innovation and Advocacy — Purpose — Membership — Meetings — Chief executive officer.

  1. There is created the Commission on Small Business Innovation and Advocacy. The commission shall be a separate administrative body of state government within the meaning of KRS 12.010(8).
  2. It shall be the purpose of the Commission on Small Business Innovation and Advocacy to:
    1. Address matters of small business as it relates to government affairs;
    2. Promote a cooperative and constructive relationship between state agencies and the small business community to ensure coordination and implementation of statewide strategies that benefit small business in the Commonwealth;
    3. Coordinate and educate the small business community of federal, state, and local government initiatives of value and importance to the small business community;
    4. Create a process by which the small business community is consulted in the development of public policy as it affects their industry sector;
    5. Aid the small business community in navigating the regulatory process, when that process becomes cumbersome, time consuming, and bewildering to the small business community; and
    6. Advocate for the small business, as necessary when regulatory implementation is overly burdensome, costly, and harmful to the success and growth of small businesses in the Commonwealth.
  3. The Commission on Small Business Innovation and Advocacy shall consist of thirteen (13) members:
    1. Two (2) members representing each congressional district; and
    2. One (1) at-large member.
  4. All members shall be appointed by the Governor for a term of four (4) years, except that the original appointments shall be staggered so that three (3) appointments shall expire at one (1) year, three (3) appointments shall expire at two (2) years, and three (3) appointments shall expire at three (3) years, and four (4) appointments shall expire at four (4) years from the dates of initial appointment.
  5. The Governor shall appoint the chair and vice chair of the commission from the appointed membership.
  6. The commission shall meet quarterly and at other times upon call of the chair or a majority of the commission.
  7. A quorum shall be a majority of the membership of the commission.
  8. Members of the commission shall serve without compensation but shall be reimbursed for their necessary travel expenses actually incurred in the discharge of their duties on the commission, subject to Finance and Administration Cabinet administrative regulations.
  9. The executive director of the Office of Entrepreneurship and Small Business Innovation shall be the administrative head and chief executive officer of the commission. The secretary of the Cabinet for Economic Development shall have authority to hire staff, contract for services, expend funds, and operate the normal business activities of the commission.
  10. The Commission on Small Business Innovation and Advocacy shall be administratively attached to the Office of Entrepreneurship and Small Business Innovation within the Cabinet for Economic Development.

HISTORY: Enact. Acts 2000, ch. 387, § 1, effective July 14, 2000; 2002, ch. 317, § 1, effective July 15, 2002; 2005, ch. 85, § 29, effective June 20, 2005; 2005, ch. 95, § 4, effective June 20, 2005; 2006, ch. 152, § 1, effective July 12, 2006; 2010, ch. 24, § 5, effective July 15, 2010; 2014, ch. 89, § 1, effective July 15, 2014; 2014, ch. 92, § 20, effective January 1, 2015; 2018 ch. 37, § 1, effective July 14, 2018; 2021 ch. 185, § 96, effective June 29, 2021.

Legislative Research Commission Notes.

(1/1/2015). This statute was amended by 2014 Ky. Acts chs. 89 and 92. Acts ch. 92 was passed last by the General Assembly and, ordinarily, any provisions in ch. 92 which conflict with provisions in ch. 89, the earlier-passed bill, would prevail under the authority of KRS 446.250 . However, new language added in ch. 92 has not been incorporated into KRS 11.200 because to make such change would make the section unintelligible. KRS 7.136(3) provides that if a statute is amended by more than one act in the same session of the General Assembly, that the change shall be given effect and incorporated only if the change will make the section intelligible.

11.202. Duties of Commission on Small Business Innovation and Advocacy — Annual reports.

  1. The duties of the Commission on Small Business Innovation and Advocacy shall include but not be limited to:
    1. Coordinate and promote the awareness of the Federal Small Business Regulatory Enforcement Fairness Act of 1996, and its subsequent amendments within the small business community of the Commonwealth;
    2. Develop a process by which the small business community is made aware of state legislation and administrative regulations affecting it, both prior to its enactment and during its implementation;
    3. Advocate for the small business sectors when state legislation and administrative regulations are overly burdensome, costly, or harmful to the success and growth of the sector;
    4. Collect information and research those public policies and government practices which are helpful or detrimental to the success and growth of the small business community; and
    5. Review administrative regulations that may impact small business. The commission may seek input from other agencies, organizations, or interested parties. In acting as an advocate for small business, the commission may submit a written report to the promulgating administrative body to be considered as comments received during the public comment period required by KRS 13A.270(1)(c). The report may specify the commission’s findings regarding the administrative regulation, including an identification and estimate of the number of small businesses subject to the administrative regulation, the projected reporting, recordkeeping, and other administrative costs required for compliance with the administrative regulation, and any suggestions the commission has for reducing the regulatory burden on small businesses through the use of tiering or exemptions, in accordance with KRS 13A.210 . A copy of the report shall be filed with the regulations compiler of the Legislative Research Commission.
  2. By September 1 of each year, the commission shall submit a report to the Governor, the Interim Joint Committee on Economic Development and Workforce Investment, and the Interim Joint Committee on Tourism, Small Business, and Information Technology detailing its work in the prior fiscal year, including but not limited to the following:
    1. Activities and achievements of the commission in accomplishing its purposes and duties;
    2. Findings of the commission related to its collection of information and research on public policies and government practices affecting small businesses, including specific legislation and administrative regulations that are helpful or detrimental to the success of small businesses; and
    3. Specific recommendations of ways state government could better promote the economic development efforts of small businesses in the Commonwealth.
  3. Beginning December 1, 2012, and on every December 1 thereafter, the commission shall submit an annual report to the Secretary of State and the Legislative Research Commission setting forth an analysis of how the one-stop electronic business portal established in KRS 14.250 may be improved to make the business portal more user friendly for businesses.

HISTORY: Enact. Acts 2000, ch. 387, § 2, effective July 14, 2000; 2004, ch. 165, § 1, effective July 13, 2004; 2011, ch. 75, § 2, effective March 16, 2011; 2021 ch. 124, § 1, effective June 29, 2021; 2021 ch. 185, § 97, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 124 and 185, which do not appear to be in conflict and have been codified together.

Gubernatorial Transition

11.210. Definition for KRS 11.210 to 11.260.

As used in KRS 11.210 to 11.260 , “Governor-elect” means the person who is the apparent successful candidate for the office of Governor, as ascertained by the Secretary of State following the general election.

History. Enact. Acts 1972, ch. 3, § 1.

11.220. Purpose, intent of gubernatorial transition law.

The General Assembly declares it to be the purpose of KRS 11.210 to 11.260 to promote the orderly transfer of the executive power in connection with the expiration of the term of office of a governor and the inauguration of a new governor. The interest of the Commonwealth requires that such transitions be accomplished so as to assure continuity in the conduct of the affairs of the state government. Any disruption occasioned by the transfer of the executive power could produce results detrimental to the safety and well-being of the Commonwealth and its people. Accordingly, it is the intent of the General Assembly that appropriate actions be authorized and taken to avoid or minimize any disruption. In addition to the specific provisions contained in KRS 11.210 to 11.260 directed toward that purpose, it is the intent of the General Assembly that all officers of the state government so conduct the affairs of the state government for which they exercise responsibility and authority as to be mindful of problems occasioned by transitions in the office of Governor, to take appropriate lawful steps to avoid or minimize disruptions that might be occasioned by the transfer of the executive power and otherwise to promote orderly transitions in the office of Governor.

History. Enact. Acts 1972, ch. 3, § 2.

11.230. Facilities for Governor-elect.

The secretary of the Finance and Administration Cabinet is authorized to provide, upon request, to each Governor-elect, for use in connection with his preparations for the assumption of official duties as Governor, necessary services and facilities, including suitable office space appropriately equipped with furniture, and office supplies as determined by the secretary of the Finance and Administration Cabinet after consultation with the Governor-elect, within the State Capitol complex.

History. Enact. Acts 1972, ch. 3, § 3; 1974, ch. 74, Art. II, § 9(2).

11.240. Duty of outgoing Governor.

It shall be incumbent upon the outgoing Governor to direct that all official documents, vital information and procedural manuals shall be given to the Governor-elect upon request.

History. Enact. Acts 1972, ch. 3, § 4.

11.250. Participation by Governor-elect in executive branch and Transportation Cabinet budget recommendations.

  1. The Governor-elect or a delegate appointed by him or her shall be entitled to examine the budget recommendations of the executive branch of government, and the Finance and Administration Cabinet shall provide him or her with every practicable facility for reviewing and familiarizing himself or herself with the recommendations. The Governor-elect shall be entitled to a seat in all hearings thereon. He or she shall be furnished a copy of the budget request of each executive branch budget unit. The budget director shall make available to the Governor-elect so much as he or she requests of the information upon which the executive branch budget recommendations are based.
  2. After a review of the executive branch and Transportation Cabinet draft budget bills, the Governor-elect may prepare revisions and additions thereto. The budget director shall assist, upon request, in the preparation of such revisions and additions.
  3. The budget director shall have as many copies of the revised budget recommendations of the executive branch of government printed as the Governor-elect requests.

History. Enact. Acts 1972, ch. 3, § 5; 1974, ch. 74, Art. II, § 9(1); 1982, ch. 450, § 50, effective July 1, 1983; 1990, ch. 507, § 1, effective July 13, 1990; 2009, ch. 78, § 24, effective June 25, 2009.

11.260. Expenses of transition.

The Finance and Administration Cabinet shall bear all necessary expenses for carrying out the purposes of KRS 11.210 to 11.260 . The Governor shall include in the budget transmitted to the General Assembly, for each fiscal year in which his regular term of office will expire, a proposed appropriation for carrying out the provisions of KRS 11.210 to 11.260 .

History. Enact. Acts 1972, ch. 3, § 6; 1974, ch. 74, Art. II, § 9(1).

Governor’s Office for Coal and Energy Policy

11.300. Governor’s Office for Coal and Energy Policy created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 325, § 1, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.305. Responsibilities of Governor’s Office for Coal and Energy Policy. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.090 by Acts 1978, ch. 186, § 8, effective March 29, 1978; 1980, ch. 295, § 34, effective July 15, 1980; 1982, ch. 345, § 4, effective July 5, 1982, and repealed, reenacted and amended as KRS 11.305 by Enact. Acts 1990, ch. 325, § 2, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.310. Research program. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.100 by 1978, ch. 186, § 9, effective March 29, 1978; 1982, ch. 345, § 5, effective July 15, 1982; 1984, ch. 111, § 89, effective July 13, 1984 and repealed, reenacted and amended as KRS 11.310 by Enact. Acts 1990, ch. 325, § 3, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.315. Duties of Governor’s Office for Coal and Energy Policy. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.125 by 1982, ch. 345, § 8, effective July 15, 1982; 1984, ch. 404, § 16, effective July 13, 1984 and repealed, reenacted and amended as KRS 11.315 by Acts 1990, ch. 325, § 4, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.320. Administration of state and federally funded programs. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.170 by 1978, ch. 186, § 17, effective March 28, 1978 and repealed, reenacted and amended as KRS 11.320 by Acts 1990, ch. 325, § 5, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.325. Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.180 by 1978, ch. 186, § 18, effective March 28, 1978 and repealed, reenacted and amended as KRS 11.325 by Acts 1990, ch. 325, § 6, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.330. Definitions. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.310 by Acts 1960, ch. 127, § 1; 1976, ch. 299, § 16; 1978, ch. 186, § 22, effective March 28, 1978; 1980, ch. 188, § 14, effective July 15, 1980, was renumbered as KRS 152A.210 and repealed, reenacted and amended as KRS 11.330 by Acts 1990, ch. 325, § 7, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.335. Establishment of research program. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.320 by Acts 1960, ch. 127, § 2; 1974, ch. 157, § 2; 1976, ch. 299, § 17; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.220 and repealed, reenacted and amended as KRS 11.330 by Acts 1990, ch. 325, § 8, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.340. Duties of special assistant. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.330 by Acts 1960, ch. 127, § 3; 1974, ch. 157, § 3; 1976, ch. 299, § 18; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.230 , and repealed, reenacted and amended as KRS 11.340 by Acts 1990, ch. 325, § 9, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.345. Powers of special assistant. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.340 by Acts 1960, ch. 127, § 4; 1974, ch. 157, § 4; 1976, ch. 299, § 19; 1978, ch. 186, § 22, effective March 28, 1978; 1978, ch. 291, § 2, effective June 17, 1978, renumbered as KRS 152A.240 , and repealed, reenacted and amended as KRS 11.345 by Acts 1990, ch. 325, § 10, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.350. Study grants. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.360 by Acts 1960, ch. 127, § 6; 1974, ch. 157, § 6; 1976, ch. 299, § 21; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.260 , and repealed, reenacted and amended as KRS 11.345 by Acts 1990, ch. 325, § 11, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.355. Interstate agreements. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.380 by Acts 1960, ch. 127, § 8; 1974, ch. 157, § 7, was renumbered as KRS 152A.270 and was repealed, reenacted and amended as KRS 11.355 by Acts 1990, ch. 325, § 12, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.360. Extension of program into state schools. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.390 by Acts 1960, ch. 127, § 9; 1974, ch. 157, § 8; 1976, ch. 299, § 22; 1978, ch. 155, § 104, effective June 17, 1978; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.280 , amended by 1990, ch. 476, Part IV, § 125, July 13, 1990, and repealed, reenacted and amended as KRS 11.360 by Acts 1990, ch. 325, § 13, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

Lieutenant Governor

11.400. Duties of Lieutenant Governor.

  1. In addition to the duties prescribed for the office by the Constitution of the Commonwealth of Kentucky, the duties of the Lieutenant Governor shall be as follows:
    1. To serve as vice chairman of the State Property and Buildings Commission as prescribed by KRS 56.450 ;
    2. To serve as vice chairman of the Kentucky Turnpike Authority as prescribed in KRS 175.430 ;
    3. To serve as a member of the Board of the Kentucky Housing Corporation in accordance with KRS 198A.030 ; and
    4. To serve as a member of Kentucky delegations on the following interstate compact commissions or boards:
      1. The Breaks Interstate Park Commission as provided in KRS 148.225 ;
      2. The Falls of the Ohio Interstate Park Commission pursuant to KRS 148.242 ;
      3. The Tennessee-Tombigbee Waterway Development Authority pursuant to KRS 182.305 ;
      4. The Interstate Water Sanitation Control Commissions as prescribed by KRS 224.18-710 ; and
      5. The Kentucky Mining Advisory Council for the Interstate Mining Compact as provided by KRS 350.310 .
  2. Nothing in this section shall prohibit the Governor and Lieutenant Governor from agreeing upon additional duties within the executive branch of the state government to be performed by the Lieutenant Governor.

HISTORY: Enact. Acts 1980, ch. 141, § 1, effective July 15, 1980; 1982, ch. 447, § 13, effective April 12, 1982; 1984, ch. 111, § 18, effective July 13, 1984; 1986, ch. 331, § 7, effective July 15, 1986; 1992, ch. 105, § 70, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 74, effective September 16, 1993; 1994, ch. 486, § 14, effective July 15, 1994; 2003, ch. 82, § 1, effective June 24, 2003; 2007, ch. 47, § 4, effective June 26, 2007; 2017 ch. 80, § 1, effective June 29, 2017; 2021 ch. 12, § 1, effective March 12, 2021.

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Research References and Practice Aids

Cross-References.

Compensation, Ky. Const., § 86.

Election, term, qualifications, Ky. Const., § 82.

Governor, when to act as, Ky. Const., § 84.

Information Technology

11.501. Renumbered as KRS 42.720.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 1, effective July 14, 2000; 2000, ch. 536, § 1, effective July 14, 2000; 2005, ch. 85, § 21, effective June 20, 2005; 2005, ch. 99, § 3, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.720 by Acts 2009, ch. 12, § 2, effective July 25, 2009.

This section was formerly compiled as KRS 61.935 .

11.503. Renumbered as KRS 42.722.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 2, effective July 14, 2000; 2000, ch. 536, § 2, effective July 14, 2000) was repealed, reenacted and amended as KRS 42.722 by Acts 2009, ch. 12, § 3, effective June 25, 2009.

Legislative Research Commission Notes.

(7/14/2000). This section was created by 2000 Ky. Acts chs. 506 and 536, which are identical and have been codified together.

11.505. Renumbered as KRS 42.724.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 3, effective July 14, 2000; 2000, ch. 536, § 3, effective July 14, 2000; 2001, ch. 59, § 1, effective June 21, 2001; 2005, ch. 85, § 22, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.724 by Acts 2009, ch. 12, § 4, effective June 25, 2009.

11.507. Renumbered as KRS 42.726.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 4, effective July 14, 2000; 2000, ch. 536, § 4, effective July 14, 2000; 2005, ch. 85, § 30, effective June 20, 2005; 2005, ch. 99, § 4, effective June 20, 2005; 2006, ch. 193, § 10, effective July 12, 2006) was repealed, reenacted and amended as KRS 42.726 by Acts 2009, ch. 12, § 3, effective June 25, 2009.

11.509. Renumbered as KRS 42.728.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 5, effective July 14, 2000; 2000, ch. 536, § 5, effective July 14, 2000; 2005, ch. 85, § 31, effective June 20, 2005; 2005, ch. 99, § 5, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.728 by Acts 2009, ch. 12, § 6, effective June 25, 2009.

11.511. Renumbered as KRS 42.730.

Compiler’s Notes.

This section (Repealed, reenact. and amend. Acts 2000, ch. 506, § 6, effective July 14, 2000; 2000, ch. 536, § 6, effective July 14, 2000; 2005, ch. 85, § 23, effective June 20, 2005) was repealed and reenacted as KRS 42.730 by Acts 2009, ch. 12, § 7, effective June 25, 2009.

This section was formerly compiled as KRS 61.936 .

11.512. Office of the 911 Coordinator — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2005, ch. 85, § 24, effective June 20, 2005; 2006, ch. 193, § 11, effective July 12, 2006; 2006, ch. 219, § 8, effective July 12, 2006) was repealed by Acts 2009, ch. 12, § 56, effective June 25, 2009.

11.513. Renumbered as KRS 42.732.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 7, effective July 14, 2000; 2000, ch. 536, § 7, effective July 14, 2000; 2005, ch. 85, § 32, effective June 20, 2005) was repealed and reenacted as KRS 42.732 by Acts 2009, ch. 12, § 8, effective June 25, 2009.

11.515. Renumbered as KRS 42.740.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 8, effective July 14, 2000; 2000, ch. 536, § 8, effective July 14, 2000; 2005, ch. 85, § 33 effective June 20, 2005; 2005, ch. 95, § 5, effective June 20, 2005; 2005, ch. 99, § 6, effective June 20, 2005; 2005, ch. 123, § 6, effective June 20, 2005; 2007, ch. 47, § 5, effective June 26, 2007; 2007, ch. 85, § 5, effective June 26, 2007) was repealed, reenacted and amended as KRS 42.740 by Acts 2009, ch. 12, § 9, effective June 25, 2009.

11.5161. Renumbered as KRS 42.734.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 1, effective June 24, 2003; 2005, ch. 85, § 34, effective June 20, 2005) was repealed and reenacted as KRS 42.734 by Acts 2009, ch. 12, § 10, effective June 25, 2009.

11.5162. Renumbered as KRS 42.736.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 2, effective June 24, 2003; 2004, ch. 48, § 1, effective July 13, 2004) was repealed, reenacted and amended as KRS 42.736 by Acts 2009, ch. 12, § 11, effective June 25, 2009.

11.5163. Renumbered as KRS 42.738.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 3, effective June 24, 2003; 2004, ch. 48, § 2, effective July 13, 2004; 2005, ch. 85, § 35, effective June 20, 2005; 2005, ch. 95, § 6, effective June 20, 2005; 2005, ch. 99, § 74, effective June 20, 2005; 2006, ch. 193, § 8, effective July 12, 2006; 2007, ch. 85, § 6, effective June 26, 2007) was repealed, reenacted and amended as KRS 42.738 by Acts 2009, ch. 12, § 12, effective June 25, 2009.

11.517. Renumbered as KRS 42.742.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 9, effective July 14, 2000; 2000, ch. 536, § 9, effective July 14, 2000; 2005, ch. 85, § 36, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.742 by Acts 2009, ch. 12, § 13, effective June 25, 2009.

This section was formerly compiled as KRS 61.959 .

11.518. Renumbered as KRS 42.744.

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 206, § 1, effective July 12, 2006) was repealed, reenacted and amended as KRS 42.738 by Acts 2009, ch. 12, § 14, effective June 25, 2009.

11.520. Renumbered as KRS 42.746.

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 223, § 1, effective July 12, 2006) was repealed and reenacted as KRS 42.746 by Acts 2009, ch. 12, § 15, effective June 25, 2009.

11.550. Telehealth Board — Members — Chair — Scope of administrative regulations — Board to make recommendations following consultation with Governor’s office — Universities of Kentucky and Louisville to report to General Assembly — Receipt and dispensing of funds. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 376, § 2, effective July 14, 2000; 2001, ch. 47, § 1, effective June 21, 2001; 2001, ch. 57, § 1, effective June 21, 2001; 2005, ch. 85, § 37, effective June 20, 2005; 2006, ch. 143, § 1, effective July 12, 2006) was repealed, reenacted and amended as KRS 194A.125 , by Acts 2007, ch. 24, § 25, effective June 26, 2007.

CHAPTER 11A Executive Branch Code of Ethics

11A.001. Short title for chapter.

This chapter may be cited as the “Executive Branch Code of Ethics.”

History. Enact. Acts 1992, ch. 287, § 1, effective July 14, 1992.

NOTES TO DECISIONS

1.Purpose.

The purpose and function of the Kentucky Code of Legislative Ethics and the Executive Branch Code of Ethics is not to restrict or prohibit appropriate and protected communications of the lobbyists; instead, the Commonwealth’s compelling interest in insuring the proper operation of a democratic government and deterring corruption is protected by these narrowly tailored sections, which require only that one who receives compensation and/or expends funds in lobbying must register and report the nature and extent of his activities. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.005. Statement of public policy.

  1. It is the public policy of this Commonwealth that a public servant shall work for the benefit of the people of the Commonwealth. The principles of ethical behavior contained in this chapter recognize that public office is a public trust and that the proper operation of democratic government requires that:
    1. A public servant be independent and impartial;
    2. Government policy and decisions be made through the established processes of government;
    3. A public servant not use public office to obtain private benefits; and
    4. The public has confidence in the integrity of its government and public servants.
  2. The principles of ethical behavior for public servants shall recognize that:
    1. Those who hold positions of public trust, and members of their families, also have certain business and financial interests;
    2. Those in government service are often involved in policy decisions that pose a potential conflict with some personal financial interest; and
    3. Standards of ethical conduct for the executive branch of state government are needed to determine those conflicts of interest which are substantial and material or which, by the nature of the conflict of interest, tend to bring public servants into disrepute.

History. Enact. Acts 1992, ch. 287, § 2, effective July 14, 1992.

11A.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Business” means any corporation, limited liability company, partnership, limited partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust, or any legal entity through which business is conducted, whether or not for profit;
  2. “Commission” means the Executive Branch Ethics Commission;
  3. “Compensation” means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or herself or another;
  4. “Family” means spouse and children, as well as a person who is related to a public servant as any of the following, whether by blood or adoption: parent, brother, sister, grandparent, grandchild, father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-law, daughter-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister;
  5. “Gift” means a payment, loan, subscription, advance, deposit of money, services, or anything of value, unless consideration of equal or greater value is received; “gift” does not include gifts from family members, campaign contributions, the waiver of a registration fee for a presenter at a conference or training described in KRS 45A.097(5), or door prizes available to the public;
  6. “Income” means any money or thing of value received or to be received as a claim on future services, whether in the form of a fee, salary, expense allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other form of compensation or any combination thereof;
  7. “Officer” means:
    1. All major management personnel in the executive branch of state government, including the secretary of the cabinet, the Governor’s chief executive officers, cabinet secretaries, deputy cabinet secretaries, general counsels, commissioners, deputy commissioners, executive directors, executive assistants, policy advisors, special assistants, administrative coordinators, executive advisors, staff assistants, and division directors;
    2. Members and full-time chief administrative officers of:
      1. The Parole Board;
      2. Office of Claims and Appeals;
      3. Board of Tax Appeals;
      4. Board of Claims;
      5. Crime Victims Compensation Board;
      6. Kentucky Retirement Systems board of trustees;
      7. Kentucky Teachers’ Retirement System board of trustees;
      8. The Kentucky Public Employees Deferred Compensation Authority board of trustees;
      9. Public Service Commission;
      10. Worker’s Compensation Board and its administrative law judges;
      11. The Kentucky Occupational Safety and Health Review Commission;
      12. The Kentucky Board of Education;
      13. The Council on Postsecondary Education;
      14. County Employees Retirement System board of trustees;
      15. Kentucky Public Pensions Authority; and
      16. The Kentucky Horse Racing Commission;
    3. Salaried members of executive branch boards and commissions; and
    4. Any person who, through a personal service contract or any other contractual employment arrangement with an agency, performs on a full-time, nonseasonal basis a function of any major management position listed in this subsection;
  8. “Official duty” means any responsibility imposed on a public servant by virtue of his or her position in the state service;
  9. “Public servant” means:
    1. The Governor;
    2. The Lieutenant Governor;
    3. The Secretary of State;
    4. The Attorney General;
    5. The Treasurer;
    6. The Commissioner of Agriculture;
    7. The Auditor of Public Accounts;
    8. All employees in the executive branch including officers as defined in subsection (7) of this section and merit employees; and
    9. Any person who, through any contractual arrangement with an agency, is employed to perform a function of a position within an executive branch agency on a full-time, nonseasonal basis;
  10. “Agency” means every state office, cabinet, department, board, commission, public corporation, or authority in the executive branch of state government. A public servant is employed by the agency by which his or her appointing authority is employed, unless his or her agency is attached to the appointing authority’s agency for administrative purposes only, or unless the agency’s characteristics are of a separate independent nature distinct from the appointing authority and it is considered an agency on its own, such as an independent department;
  11. “Lobbyist” means any person employed as a legislative agent as defined in KRS 6.611(23) or any person employed as an executive agency lobbyist as defined in KRS 11A.201(9);
  12. “Lobbyist’s principal” means the entity in whose behalf the lobbyist promotes, opposes, or acts;
  13. “Candidate” means those persons who have officially filed candidacy papers or who have been nominated by their political party pursuant to KRS 118.105 , 118.115 , 118.325 , or 118.760 for any of the offices enumerated in subsections (9)(a) to (g) of this section;
  14. “Does business with” or “doing business with” means contracting, entering into an agreement, leasing, or otherwise exchanging services or goods with a state agency in return for payment by the state, including accepting a grant, but not including accepting a state entitlement fund disbursement;
  15. “Public agency” means any governmental entity;
  16. “Appointing authority” means the agency head or any person whom he or she has authorized by law to act on behalf of the agency with respect to employee appointments;
  17. “Represent” means to attend an agency proceeding, write a letter, or communicate with an employee of an agency on behalf of someone else;
  18. “Directly involved” means to work on personally or to supervise someone who works on personally;
  19. “Sporting event” means any professional or amateur sport, athletic game, contest, event, or race involving machines, persons, or animals, for which admission tickets are offered for sale and that is viewed by the public;
  20. “Person” means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert; and
  21. “Salaried” means receiving a fixed compensation or benefit reserved for full-time employees, which is paid on a regular basis without regard to the actual number of hours worked.

HISTORY: Enact. Acts 1992, ch. 287, § 3, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 71, effective September 16, 1993; 1994, ch. 406, § 7, effective July 15, 1994; 1996, ch. 362, § 6, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 149, effective May 30, 1997; 1998, ch. 429, § 1, effective July 15, 1998; 1998, ch. 431, § 2, effective July 15, 1998; 1998, ch. 602, § 1, effective July 15, 1998; 2000, ch. 417, § 3, effective December 1, 2000; 2000, ch. 475, § 1, effective July 14, 2000; 2000, ch. 542, § 5, effective July 14, 2000; 2003, ch. 29, § 3, effective June 24, 2003; 2005, ch. 123, § 7, effective June 20, 2005; 2012, ch. 75, § 1, effective April 11, 2012; 2012, ch. 81, § 77, effective July 12, 2012; 2013, ch. 106, § 1, effective June 25, 2013; 2014, ch. 75, § 11, effective July 15, 2014; 2018 ch. 107, § 83, effective July 14, 2018; 2019 ch. 195, § 1, effective June 27, 2019; 2020 ch. 127, § 7, effective July 15, 2020; 2020 ch. 79, § 11, effective April 1, 2021; 2021 ch. 185, § 4, effective June 29, 2021; 2021 ch. 200, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 185 and 200, which do not appear to be in conflict and have been codified together.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

NOTES TO DECISIONS

1.Equal Protection Rights.

The need to properly identify and regulate compensated lobbyist groups in order to preserve and maintain the integrity of government constitutes a compelling state interest, which validates this classification and does not violate these groups’ equal protection rights. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

2.Public Servants.

Because property valuation administrators (PVAs) were state level “officers” subject to the Executive Branch Code of Ethics, KRS ch. 11A, the trial court improperly instructed the Kentucky Executive Branch Ethics Commission to dismiss charges against the PVAs for hiring family members, on the basis that they were local officials. Ky. Exec. Branch Ethics Comm'n v. Atkinson, 339 S.W.3d 472, 2010 Ky. App. LEXIS 105 (Ky. Ct. App. 2010).

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Since the state lottery is not a “business” as that term is used in subsection (1) of this section and does not engage in business for profit in any normal sense of the words and has no owners or stockholders who have a personal financial stake in its earnings, employment with the state lottery is not affected by the provisions of KRS 11A.040 . OAG 93-83 .

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

11A.015. Agency exempt from chapter if law or administrative regulation creates its code of ethics.

An agency that is directed by statute to adopt a code of ethics shall be exempt from KRS Chapter 11A upon the effective date of an Act of the General Assembly creating the agency’s code of ethics or upon the effective date of an administrative regulation that creates the agency’s code of ethics.

History. Enact. Acts 2000, ch. 475, § 5, effective July 14, 2000.

Opinions of Attorney General.

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

11A.020. Public servant prohibited from certain conduct — Exception — Disclosure of personal or private interest.

  1. No public servant, by himself or through others, shall knowingly:
    1. Use or attempt to use his influence in any matter which involves a substantial conflict between his personal or private interest and his duties in the public interest;
    2. Use or attempt to use any means to influence a public agency in derogation of the state at large;
    3. Use his official position or office to obtain financial gain for himself or any members of the public servant’s family; or
    4. Use or attempt to use his official position to secure or create privileges, exemptions, advantages, or treatment for himself or others in derogation of the public interest at large.
  2. If a public servant appears before a state agency, he shall avoid all conduct which might in any way lead members of the general public to conclude that he is using his official position to further his professional or private interest.
  3. When a public servant abstains from action on an official decision in which he has or may have a personal or private interest, he shall disclose that fact in writing to his superior, who shall cause the decision on these matters to be made by an impartial third party.
  4. The prohibitions imposed by subsection (1)(c) of this section shall not apply to Professional Golfers’ Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers’ Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state-owned golf courses.

History. Enact. Acts 1992, ch. 287, § 4, effective July 14, 1992; 1998, ch. 381, § 1, effective July 15, 1998.

NOTES TO DECISIONS

Analysis

1.In General.

Supervisor was not entitled to assert a claim of qualified immunity to an employee’s 42 USCS § 1983 action that was based on the supervisor’s alleged response of making a pretextual performance review and taking part in the employee’s allegedly illegal suspension after the employee made a report of alleged violations of KRS 11A.020 by the supervisor, since (1) any adverse actions taken against the employee for having made that report violated his First Amendment rights, (2) the employee’s First Amendment rights were clearly established by the time of the alleged violation, and (3) the supervisor’s responses were objectively unreasonable. Commonwealth v. Hall, 2006 Ky. App. Unpub. LEXIS 64 (Ky. Ct. App. Dec. 1, 2006).

2.Effect of Pardon.

Defendant, who had served in the state cabinet, received a pardon from the Governor in criminal proceedings alleging misdemeanor violations of the merit system laws and felony violations alleging evidence and witness tampering; such pardon did not preclude civil proceedings against defendant by the Kentucky Executive Branch Ethics Commission (EBEC) for violations of KRS 11A.020 ; defendant remained subject to the EBEC’s jurisdiction and the EBEC proceeding was not subject to the Governor’s pardon. Turbyfill v. Exec. Branch Ethics Comm'n, 303 S.W.3d 124, 2009 Ky. App. LEXIS 232 (Ky. Ct. App. 2009).

3.Nepotism.

Kentucky Legislature does not intend to bar the hiring and promotion of family members within a property valuation administrator's office via this section; because the terms “to obtain” and “financial gain” were not defined by statute, they were given their normal, ordinary, and common meaning. Therefore, members of the property valuation administrator's office did not violate this section by hiring or promoting family members within their respective offices. Ky. Exec. Branch Ethics Comm'n v. Wooten, 465 S.W.3d 453, 2014 Ky. App. LEXIS 158 (Ky. Ct. App. 2014).

11A.030. Considerations in determination to abstain from action on official decision — Advisory opinion.

In determining whether to abstain from action on an official decision because of a possible conflict of interest, a public servant should consider the following guidelines:

  1. Whether a substantial threat to his independence of judgment has been created by his personal or private interest;
  2. The effect of his participation on public confidence in the integrity of the executive branch;
  3. Whether his participation is likely to have any significant effect on the disposition of the matter;
  4. The need for his particular contribution, such as special knowledge of the subject matter, to the effective functioning of the executive branch; or
  5. Whether the official decision will affect him in a manner differently from the public or will affect him as a member of a business, profession, occupation, or group to no greater extent generally than other members of such business, profession, occupation, or group. A public servant may request an advisory opinion from the Executive Branch Ethics Commission in accordance with the commission’s rules of procedure.

History. Enact. Acts 1992, ch. 287, § 5, effective July 14, 1992.

11A.040. Acts prohibited for public servant or officer — Exceptions.

  1. A public servant, in order to further his or her own economic interests, or those of any other person, shall not knowingly disclose or use confidential information acquired in the course of his or her official duties.
  2. A public servant shall not knowingly receive, directly or indirectly, any interest or profit arising from the use or loan of public funds in his or her hands or to be raised through any state agency.
  3. A public servant shall not knowingly act as a representative or agent for the Commonwealth or any agency in the transaction of any business or regulatory action with himself or herself, or with any business in which he or she or a member of his or her family has any interest greater than five percent (5%) of the total value thereof.
  4. A public servant shall not knowingly himself or herself or through any business in which he or she owns or controls an interest of more than five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she is employed or which he or she supervises, subject to the provisions of KRS 45A.340 . This provision shall not apply to:
    1. A contract, purchase, or good faith negotiation made pursuant to KRS Chapter 416 relating to eminent domain; or
    2. Agreements which may directly or indirectly involve public funds disbursed through entitlement programs; or
    3. A public servant’s spouse or child doing business with any state agency other than the agency by which the public servant is employed or which he supervises; or
    4. Purchases from a state agency that are available on the same terms to the general public or that are made at public auction; or
    5. Sales of craft items to a state park by interim state employees designated as craftspersons under KRS 148.257 .
  5. A public servant shall not knowingly accept compensation, other than that provided by law for public servants, for performance of his or her official duties without the prior approval of the commission.
  6. A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year of termination of his or her employment, knowingly by himself or herself or through any business in which he or she owns or controls an interest of at least five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she was employed. This provision shall not apply to a contract, purchase, or good-faith negotiation made under KRS Chapter 416 relating to eminent domain or to agreements that may directly or indirectly involve public funds disbursed through entitlement programs. This provision shall not apply to purchases from a state agency that are available on the same terms to the general public or that are made at public auction. This provision shall not apply to former officers of the Department of Public Advocacy whose continued representation of clients is necessary in order to prevent an adverse effect on the client.
  7. A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year following termination of his or her office or employment, accept employment, compensation, or other economic benefit from any person or business that contracts or does business with, or is regulated by, the state in matters in which he or she was directly involved during the last thirty-six (36) months of his or her tenure. This provision shall not prohibit an individual from returning to the same business, firm, occupation, or profession in which he or she was involved prior to taking office or beginning his or her term of employment, or for which he or she received, prior to his or her state employment, a professional degree or license, provided that, for a period of one (1) year, he or she personally refrains from working on any matter in which he or she was directly involved during the last thirty-six (36) months of his or her tenure in state government. This subsection shall not prohibit the performance of ministerial functions, including but not limited to filing tax returns, filing applications for permits or licenses, or filing incorporation papers, nor shall it prohibit the former officer or public servant from receiving public funds disbursed through entitlement programs.
  8. A former public servant shall not act as a lobbyist or lobbyist’s principal in matters in which he or she was directly involved during the last thirty-six (36) months of his or her tenure for a period of one (1) year after the latter of:
    1. The date of leaving office or termination of employment; or
    2. The date the term of office expires to which the public servant was elected.
  9. A former public servant shall not represent a person or business before a state agency in a matter in which the former public servant was directly involved during the last thirty-six (36) months of his or her tenure, for a period of one (1) year after the latter of:
    1. The date of leaving office or termination of employment; or
    2. The date the term of office expires to which the public servant was elected.
  10. Without the approval of his appointing authority, a public servant shall not accept outside employment from any person or business that does business with or is regulated by the state agency for which the public servant works or which he or she supervises, unless the outside employer’s relationship with the state agency is limited to the receipt of entitlement funds.
    1. The appointing authority shall review administrative regulations established under KRS Chapter 11A when deciding whether to approve outside employment for a public servant.
    2. The appointing authority shall not approve outside employment for a public servant if the public servant is involved in decision-making or recommendations concerning the person or business from which the public servant seeks outside employment or compensation.
    3. The appointing authority, if applicable, shall file quarterly with the Executive Branch Ethics Commission a list of all employees who have been approved for outside employment along with the name of the outside employer of each.
  11. The prohibitions imposed by subsection (5) or (10) of this section shall not apply to Professional Golfers’ Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers’ Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state-owned golf courses.
  12. The prohibitions imposed by subsections (6) to (10) of this section shall not apply to members of the Kentucky Horse Racing Commission.

History. Enact. Acts 1992, ch. 287, § 6, effective July 14, 1992; 1994, ch. 434, § 3, effective July 15, 1994; 1996, ch. 367, § 1, effective July 15, 1996; 1998, ch. 381, § 2, effective July 15, 1998; 1998, ch. 429, § 2, effective July 15, 1998; 1998, ch. 430, § 1, effective July 15, 1998; 1998, ch. 602, § 2, effective July 15, 1998; 2000, ch. 417, § 4, effective December 1, 2000; 2000, ch. 475, § 2, effective July 14, 2000; 2006, ch. 68, § 1, effective July 12, 2006; 2019 ch. 74, § 1, effective June 27, 2019; 2021 ch. 200, § 6, effective June 29, 2021.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

(7/15/98). A reference to “KRS 11A.010(9)(a) to (i)” in the former subsection (6) of this statute (now subsection (7)) has been changed in codification to “KRS 11A.010(9)(a) to (h)” under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 429 used the “(a) to (h)” range in new language and modified existing language to use the “(a) to (h)” range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.

NOTES TO DECISIONS

1.Prohibition Against Lobbying.

There are no qualifications, exceptions, or conditions in subsection (7) (now (8)) of this section that would remove any public servant from the reaches of the prohibition against lobbying. Flint v. Executive Branch Ethics Comm'n, 981 S.W.2d 132, 1998 Ky. App. LEXIS 131 (Ky. Ct. App. 1998).

2.Jurisdiction.

Because the former deputy liquidator’s misconduct related only to his personal behavior and was not directly connected to insurance liquidation, the trial court lacked jurisdiction to grant summary judgment. Exec. Branch Ethics Comm'n v. Stephens, 92 S.W.3d 69, 2002 Ky. LEXIS 200 ( Ky. 2002 ).

Cited in

Molina Healthcare of Ky., Inc. v. Anthem Ky. Managed Care Plan, Inc., 2022 Ky. App. LEXIS 84 (Ky. Ct. App. Sept. 9, 2022).

Opinions of Attorney General.

Where a Deputy Commissioner in the Department of Education, will be retiring effective June 30, 1992 and after leaving the Department of Education, will be available as a consultant through appropriate contractual arrangements with the Department and local school districts, this section will not require the Deputy Commissioner to wait six months after he has left the Department of Education before becoming a consultant to the Department; subsection (6) of this section requires a six months’ wait only if the formerly employed person obtains employment with a person or business that contracts or does business with the Education Department in matters in which the formerly employed person was directly involved during their tenure with the Department. OAG 92-89 .

Since the state lottery is not a “business” as that term is used in KRS 11A.010 (1) and does not engage in business for profit in any normal sense of the words and has no owners or stockholders who have a personal financial stake in its earnings, employment with the state lottery is not affected by the provisions of this section. OAG 93-83 .

11A.045. Acceptance of gifts by public servants permitted under certain circumstances.

  1. No public servant, his spouse, or dependent child knowingly shall accept any gifts or gratuities, including travel expenses, meals, alcoholic beverages, and honoraria, totaling a value greater than twenty-five dollars ($25) in a single calendar year from any person or business that does business with, is regulated by, is seeking grants from, is involved in litigation against, or is lobbying or attempting to influence the actions of the agency in which the public servant is employed or which he supervises, or from any group or association which has as its primary purpose the representation of those persons or businesses. Nothing contained in this subsection shall prohibit the commission from authorizing exceptions to this subsection where such exemption would not create an appearance of impropriety. This subsection shall not apply to:
    1. Activities involving sponsorships, naming rights, or similar honoraria granted under KRS 45A.097 ; or
    2. Individuals traveling on their own while involved in activities related to KRS 45A.097 .
  2. Nothing in KRS Chapter 11A shall prohibit or restrict the allocation of or acceptance by a public servant of a ticket for admission to a sporting event if the ticket or admission is paid for by the public servant at face value or is paid for at face value by the individual to whom the ticket is allocated.
  3. Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict the acceptance by a public servant of the Cabinet for Economic Development or by any other public servant working directly with the cabinet on an economic incentive package of anything of economic value as a gift or gratuity, if the gift or gratuity:
    1. Was not solicited by the public servant;
    2. Was accepted by the public servant in the performance of his or her official duties and in compliance with guidelines to be established by the Kentucky Economic Development Partnership which shall include requirements that all gifts or gratuities of a reportable value under KRS 11A.050(3)(k) be registered with the Kentucky Economic Development Partnership and with the Executive Branch Ethics Commission and that all tangible property with a value in excess of twenty-five dollars ($25), other than food and beverages consumed on the premises, shall be turned over to the Cabinet for Economic Development within thirty (30) days of receipt. In filing reports of gifts or gratuities with the Executive Branch Ethics Commission, the Cabinet for Economic Development may delete information identifying the donors if the cabinet believes identification of the donors would damage economic development; and
    3. Was not accepted under circumstances which would create a violation of KRS Chapter 521.

HISTORY: Enact. Acts 1994, ch. 450, § 36, effective July 15, 1994; 1998, ch. 431, § 1, effective July 15, 1998; 2000, ch. 475, § 3, effective July 14, 2000; 2000, ch. 542, § 6, effective July 14, 2000; 2017 ch. 175, § 4, effective June 29, 2017.

11A.047. Definitions — Transition team to promote orderly transfer of executive power and continuity in conduct of state government — Executive Branch Ethics Commission to establish in administrative regulations standards of ethical conduct for transition team members — Access to and confidentiality of nonpublic information — Disclosure of positions held outside state government — Financial conflicts of interest — Standards of ethical conduct to be available on commission’s Web site.

  1. As used in this section:
    1. “Agency” means any department, program cabinet, division, institution, board, commission, office, or agency of state government;
    2. “Nonpublic information” means information relating to state government that a transition team member obtains as part of his or her participation on the transition team that such member knows or reasonably should know has not been made available to the general public, or is otherwise not available for public inspection under KRS 61.870 to 61.884 ;
    3. “Transition team” means a team created by a person newly elected to any office listed in KRS 11A.010(9)(a) to (g) to promote the orderly transfer of executive power and ensure continuity in the conduct of the affairs of state government in connection with the expiration of the term of office for any person elected to the offices listed under KRS 11A.010(9)(a) to (g) and the election and inauguration of another person to serve in any of the offices listed in KRS 11A.010(9)(a) to (g); and
    4. “Transition team member” means any person designated to serve on a transition team.
  2. A person newly elected to any office listed in KRS 11A.010(9)(a) to (g) may create a transition team for the purpose of promoting an orderly transfer of executive power and ensuring continuity in the conduct of affairs of state government by requesting and utilizing information provided by the administration of the outgoing official that had been elected to any office listed in KRS 11A.010(9)(a) to (g) prior to the expiration of his or her term of office.
  3. The commission shall establish by administrative regulation promulgated under KRS Chapter 13A standards of ethical conduct for transition team members. The standards of ethical conduct for transition team members shall include ethics requirements that:
    1. Apply to all transition team members;
    2. Address the role of transition team members who are:
      1. Registered lobbyists under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246 ; or
      2. Former lobbyists who were registered under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246 during the twelve (12) month period prior to becoming a transition team member.
  4. Each person elected to an office listed in KRS 11A.010(9)(a) to (g) shall designate a person or persons to lead his or her transition team or transition teams. Persons designated as transition team leaders shall, on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A, submit to the commission:
    1. A list of all transition team members;
    2. A description of how transition team members will comply with the provisions contained within this section; and
    3. Any additions to or departures from the list of transition team members as necessary to provide an accurate and up-to-date list.
  5. A transition team member shall:
    1. Seek authorization from the transition team leader designated by the person elected to the office listed in KRS 11A.010(9)(a) to (g) to oversee the transition team to which the transition team member is assigned before seeking access to any nonpublic information as part of the transition process;
    2. Keep confidential any nonpublic information provided in the course of the duties of the transition team member with the transition team and exclusively use such information for the purposes of the transition; and
    3. Not use any nonpublic information provided in the course of transition duties, in any manner, for personal or private gain of the transition team member or any other party at any time during or after the transition.
  6. A transition team member shall not receive nonpublic information regarding matters that financially impact:
    1. The transition team member or his or her spouse;
    2. The transition team member’s employer or his or her spouse’s employer;
    3. The transition team member’s lobbying clients;
    4. Any business in which the transition team member or his or her spouse is a board member;
    5. Any business in which the transition team member or his or her spouse is an officer;
    6. Any business in which the transition team member or his or her spouse is an owner of five percent (5%) or more of the business; or
    7. Any provider of non-state sources of funds received by the transition team member related to his or her transition team duties.
  7. Every transition team member shall disclose prior to serving on the transition team, and update as necessary during service on the transition team on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A:
    1. His or her current employer and the current employer of his or her spouse;
    2. Any business in which a transition team member or his or her spouse is a board member, an officer, or an owner of five percent (5%) or more of the business during the twelve (12) month period prior to becoming a transition team member;
    3. Any non-state sources of funds received for his or her services related to transition team duties;
    4. All positions the transition team member has held outside of state government for the twelve (12) month period prior to becoming a transition team member, including both paid and unpaid positions;
    5. Any contracts that the transition team member or his or her spouse has sought or received with state government during the twelve (12) month period prior to becoming a transition team member and affirmation that the transition team member and his or her spouse will not seek a contract with a state agency for which he or she received nonpublic information during the tenure of the administration;
    6. Whether the transition team member or his or her spouse has accepted any gift or payment exceeding twenty-five dollars ($25) or has accepted future employment from any party interested in seeking influence in state government during the twelve (12) month period prior to becoming a transition team member, or during service as a transition team member;
    7. A description of the transition team member’s role in the transition, including a list of any policy issues on which the transition team member is expected to work, and a list of agencies with which the transition team member is expected to interact while serving on the transition team;
    8. Any issues from which each transition team member shall be recused while serving as a member of the transition team; and
    9. An affirmation that each transition team member does not have a financial conflict of interest that precludes transition team members from working on specified issues to which he or she has been assigned.
  8. The commission shall make the standards of ethical conduct for transition team members available to the public on its Web site.

HISTORY: 2021 ch. 129, § 1, effective June 29, 2021.

11A.050. Financial disclosure by officers, candidates, and public servants.

  1. Each officer, each public servant listed in KRS 11A.010(9)(a) to (g), and each candidate shall file a statement of financial disclosure with the commission, as follows:
    1. Each officer shall file the statement within thirty (30) days of employment as an officer, and each officer who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains an officer;
    2. Each public servant listed in KRS 11A.010(9)(a) to (g) who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains a public servant as listed in KRS 11A.010(9)(a) to (g);
    3. Each officer and public servant listed in KRS 11A.010(9)(a) to (g) who does not remain an officer or public servant listed in KRS 11A.010(9)(a) to (g) for the entire calendar year shall file the statement for the portion of the calendar year that the person served as an officer or public servant listed in KRS 11A.010(9)(a) to (g). The statement shall be filed with the commission within thirty (30) days after the date the person no longer serves as an officer or public servant listed in KRS 11A.010(9)(a) to (g);
    4. A candidate shall file the statement reflecting the previous calendar year with the commission no later than February 15; and
    5. Each candidate elected to serve as a public servant in a position listed in KRS 11A.010(9)(a) to (g) shall, within ten (10) days of taking the oath of office for the position to which he or she was elected, file a statement of financial disclosure with the commission for the calendar year in which the election was held.
  2. The statement of financial disclosure shall be filed on a form prescribed by the commission. The commission shall provide copies of the form upon request without charge.
  3. The statement shall include the following information for the preceding calendar year:
    1. Name and entire residential and business address of filer;
    2. Title of position or office whereby filing is required;
    3. Any other occupations of filer and spouse;
    4. Positions held by the filer or his or her spouse in any business, and the name and address of the business;
    5. Name and address of any employer by whom the filer was employed for the one (1) year period immediately prior to becoming an officer, not including those listed in paragraph (d) of this subsection;
    6. Names and addresses of all businesses in which the filer, his or her spouse, or dependent children has or had an interest of ten thousand dollars ($10,000) at fair market value or five percent (5%) ownership interest or more;
    7. The name and address of any source of gross income exceeding one thousand dollars ($1,000) from any one (1) source to the filer, his or her spouse, or dependent child, as well as information concerning the nature of the business, and the form of the income;
    8. Any representation or intervention for compensation by the filer or his or her spouse for any person or business before a state agency for which the filer works or supervises or before any entity of state government for which the filer would serve in a decision-making capacity, including the name and address of the person or business;
    9. All positions of a fiduciary nature held by the filer or his or her spouse in a business, including the name and address of the business;
    10. Information, including a street address or location, regarding any real property in which there is an interest of ten thousand dollars ($10,000) or more held by the filer, his or her spouse, or dependent children;
    11. Sources, including each source’s name and address, of gifts of money or property with a retail value of more than two hundred dollars ($200) from any one (1) source to the filer, his or her spouse, or dependent children, except those from a member of the filer’s family;
    12. Identity, including an address, of creditors owed more than ten thousand dollars ($10,000), except debts arising from the purchase of consumer goods; and
    13. Names and addresses of family members of the filer or persons with whom the filer was engaged in a business who are registered as legislative agents under KRS 6.807 or executive agency lobbyists under KRS 11A.211 .

Paragraphs (a) to (m) of this subsection shall not require disclosure of specific dollar amounts or of privileged information.

History. Enact. Acts 1992, ch. 287, § 7, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 72, effective September 16, 1993; 1998, ch. 429, § 3, effective July 15, 1998; 2000, ch. 417, § 5, effective December 1, 2000; 2000, ch. 475, § 4, effective July 14, 2000; 2019 ch. 74, § 2, effective June 27, 2019; 2021 ch. 129, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

(7/15/98). A reference to “KRS 11A.010(9)(a) to (i)” in subsection (1) of this statute has been changed in codification to “KRS 11A.010(9)(a) to (h)” under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 429, including in the section that amended this statute, used the “(a) to (h)” range in new language and modified existing language to use the “(a) to (h)” range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.

11A.055. Raising of funds for certain activities permitted — Exemption from requirements of chapter for nonprofit charitable organization.

  1. Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for a charitable nonprofit organization granted a tax exemption by the Internal Revenue Service under Section 501c of the Internal Revenue Code without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of the charitable organization, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the charitable organization.
  2. Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for crime prevention, drug and alcohol abuse prevention, tourism promotion, and traffic safety programs without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of a program specified in this section, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the program.
  3. Any provision of KRS Chapter 11A to the contrary notwithstanding, any nonprofit charitable organization organized under 26 U.S.C. sec. 501(c)(3) , affiliated with the Tourism, Arts and Heritage Cabinet, or whose purpose is the promotion of tourism in the Commonwealth:
    1. Shall not be subject to the provisions of this chapter;
    2. May benefit from cabinet employees working on its behalf without the employees violating the provisions of this chapter; and
    3. May make contributions to the cabinet after being solicited by cabinet employees without the employees violating the provisions of this chapter.

HISTORY: Enact. Acts 2002, ch. 290, § 2, effective April 9, 2002; 2017 ch. 175, § 5, effective June 29, 2017.

Compiler’s Notes.

The reference to “Section 501c of the Internal Revenue Code” in subsection (1) appears to be intended as a reference to 26 USCS § 501(c).

11A.060. Executive Branch Ethics Commission — Membership — Officers — Compensation — Removal — Meetings.

  1. The Executive Branch Ethics Commission is hereby established.
  2. The commission shall be composed of seven (7) members, two (2) of whom shall be appointed by the Governor. Each of the following shall appoint one (1) member of the commission:
    1. Treasurer;
    2. Auditor of Public Accounts;
    3. Commissioner of Agriculture;
    4. Secretary of State; and
    5. Attorney General.
  3. On July 14, 2022, the terms of the existing members of the commission shall terminate and seven (7) new initial members shall be appointed by the officials listed under subsection (2) of this section. Members of the commission shall serve staggered terms of four (4) years. Of the initial members appointed as provided in this section, one (1) member shall serve a term of one (1) year and shall be appointed by the Treasurer, one (1) member shall serve a term of two (2) years and shall be appointed by the Auditor of Public Accounts, two (2) members shall serve a term of three (3) years, one (1) of whom shall be appointed by the Governor and one (1) of whom shall be appointed by the Commissioner of Agriculture, and three (3) members shall be appointed for terms of four (4) years, one (1) of whom shall be appointed by the Governor, one (1) of whom shall be appointed by the Secretary of State, and one (1) of whom shall be appointed by the Attorney General. Thereafter, all appointments shall be for staggered terms of four (4) years.
  4. The commission shall every two (2) years elect from its membership a chair and vice chair. In the absence of the chair or in the event of a vacancy in that position, the vice chair shall serve as chair.
  5. A member of the commission shall receive one hundred dollars ($100) per day for attending meetings and shall be reimbursed for actual and necessary expenses incurred in the performance of duties.
  6. All members shall be registered voters of the state.
  7. Members of the commission shall be removed by the appointing authority who appointed him or her for cause only, including substantial neglect of duty and inability to discharge the powers and duties of office.
  8. A quorum shall consist of four (4) or more members. An affirmative vote of four (4) or more members shall be necessary for commission action.
  9. The commission shall meet at the call of the chair or a majority of its members.
  10. The commission shall be attached to the Finance and Administration Cabinet for administrative purposes only.
  11. The commission shall not be reorganized except by statute.

History. Enact. Acts 1992, ch. 287, § 8, effective July 14, 1992; 1994, ch. 208, § 1, effective July 15, 1994; 1998, ch. 602, § 3, effective July 15, 1998; 2009, ch. 12, § 17, effective June 25, 2009; 2022 ch. 203, § 2, effective July 14, 2022.

11A.070. Executive director and employees of commission — Use of services and facilities of state agencies.

The commission may employ an executive director and any other employees, agents, and consultants it considers necessary, and may prescribe their duties, fix their compensation, and provide for reimbursement of their expenses within the amount available therefor by appropriation. The commission may also engage outside professional counsel it considers necessary. The commission and its staff may also make use of the services and facilities of the office of the Attorney General or of any other state agency.

History. Enact. Acts 1992, ch. 287, § 9, effective July 14, 1992.

11A.080. Investigation of complaints — Procedures — Findings — Resolution.

    1. Upon a complaint signed under penalty of perjury by any person, or upon its own motion, the commission shall conduct a preliminary investigation of any alleged violation of this chapter.
    2. The preliminary investigation shall begin not later than ten (10) days after the next commission meeting following the receipt of the sworn complaint, or, if the investigation is initiated by the commission’s own motion, not later than ten (10) days after the date of the adoption of the motion.
    3. Within ten (10) days of the commencement of the preliminary investigation, the commission shall forward a copy of the complaint, if one has been filed, or a statement of possible violations being investigated, and a general statement of the applicable law to the person alleged to have committed a violation.
    4. For each complaint filed by a person other than the commission or a member of the commission, the commission shall make a finding as to whether the complaint is:
      1. Well-grounded in fact;
      2. Warranted by existing law; and
      3. Filed for a good-faith argument or reason and not for any improper purpose, such as for political advantage, to harass or embarrass a person or persons, to cause delays, or to increase the costs of adjudicating a case before the commission.
  1. All commission proceedings and records relating to a preliminary investigation shall be confidential until a final determination is made by the commission, except:
    1. The commission may turn over to the Attorney General, the United States Attorney, or the Commonwealth’s attorney of the jurisdiction in which the offense allegedly occurred, evidence which may be used in criminal proceedings or, at its discretion, may at any time turn over to the Personnel Board, the Auditor of Public Accounts, or any other agency with jurisdiction to review, audit, or investigate the alleged offense, evidence which may be used by those agencies for investigative purposes;
    2. If the alleged violator publicly discloses the existence of a preliminary investigation, the commission may publicly confirm the existence of the inquiry and, in its discretion, make public any documents which were issued to either party;
    3. If the matter being investigated was referred to the commission from another state agency, the commission may inform the referring state agency of the status of any preliminary investigation and of any action taken on the matter.
  2. If the commission determines in the preliminary investigation that the facts are not sufficient to constitute a violation of this chapter, the commission shall immediately terminate the investigation and notify in writing the complainant, if any, and the person alleged to have committed a violation. The commission may confidentially inform the alleged violator of potential violations and provide information to ensure future compliance with the law. If the alleged violator publicly discloses the existence of such action by the commission, the commission may confirm the existence of the resolution and, in its discretion, make public any documents which were issued to the alleged violator.
  3. If the commission, during the course of the preliminary investigation, finds probable cause to believe that a violation of this chapter has occurred, the commission may, upon majority vote:
    1. Due to mitigating circumstances such as lack of significant economic advantage or gain by the alleged violator, lack of significant economic loss to the state, or lack of significant impact on public confidence in government, in writing, confidentially reprimand the alleged violator for potential violations of the law and provide a copy of the reprimand to the alleged violator’s appointing authority, if any. If the alleged violator publicly discloses the existence of such an action, the commission may confirm the existence of the action and, in its discretion, make public any documents which were issued to the alleged violator; or
    2. Initiate an administrative proceeding to determine whether there has been a violation.
  4. If the commission determines that a violation of this chapter has occurred in a case involving a contract with state government, the secretary of the Finance and Administration Cabinet may void any contract related to that case.
  5. If the commission determines that a violation of the provisions of KRS 11A.001 to 11A.130 has occurred, an employer of a former officer or public servant may be subject to a fine of up to one thousand dollars ($1,000) for each offense.

History. Enact. Acts 1992, ch. 287, § 10, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 73, effective September 16, 1993; 1998, ch. 603, § 1, effective July 15, 1998; 2000, ch. 475, § 6, effective July 14, 2000; 2012, ch. 34, § 1, effective July 12, 2012; 2017 ch. 162, § 1, effective June 29, 2017; 2019 ch. 74, § 3, effective June 27, 2019; 2022 ch. 203, § 3, effective July 14, 2022.

NOTES TO DECISIONS

1.Applicability.

Because property valuation administrators (PVAs) were state level “officers” subject to the Executive Branch Code of Ethics, KRS ch. 11A, the trial court improperly instructed the Kentucky Executive Branch Ethics Commission to dismiss charges against the PVAs for hiring family members, on the basis that they were local officials. Ky. Exec. Branch Ethics Comm'n v. Atkinson, 339 S.W.3d 472, 2010 Ky. App. LEXIS 105 (Ky. Ct. App. 2010).

Opinions of Attorney General.

Where first page of subpeona was released, second page of subpeona could not be withheld under the exceptions of KRS 61.878 (1)(h) and (i) (now (i) and (j)) since a subpeona is a final draft upon execution and cannot be characterized as preliminary memorandum in which opinions are expressed. OAG 94-ORD-81.

Assertion that subsection (2) of this section precluded the release of the second page of a subpeona issued by the Auditor’s office because the Auditor’s services had been enlisted by the Executive Branch Ethics Commission failed where the Auditor was acting independently at the time the subpeona was issued. OAG 94-ORD-81.

A finding of no probable cause is not a “final determination” such as one reached at the conclusion of a full-blown adjudicatory hearing conducted under KRS 11A.100(3). It is, instead, an option available to the Commission if, in the course of a preliminary investigation, it determines that the complaint does not allege facts sufficient to constitute a violation of KRS Chapter 11A. Records pertaining to such preliminary investigative findings, including minutes of executive sessions of the Commission, are expressly excluded from public inspection by operation of KRS 11A.080(2). OAG 02-ORD-44.

As a public agency employee, the requester would normally be entitled to inspect and copy any record including preliminary and other supporting documentation that relates to him at the conclusion of any criminal or administrative investigations by an agency. However, the specific confidentiality provision codified at KRS 11A.080(2) overrides KRS 61.878(3), and the requester has no greater right of access to the Commission’s confidential records than the public generally. OAG 02-ORD-44.

11A.090. Subpoena power.

For the purpose of carrying out a preliminary investigation, the commission may issue subpoenas to compel the attendance and testimony of witnesses or the production of documents, books, papers, or other records. Subpoenas may be issued by the chairman or the majority of the members of the commission and shall be served in the same manner as subpoenas for witnesses in civil cases. All provisions of law relative to subpoenas issued in such cases, including compensation of witnesses, shall apply to subpoenas issued by the commission. Upon petition by the commission, any Circuit Court within the jurisdiction of which any inquiry is being carried on may, in case of refusal to obey a subpoena or order of the commission, issue an order requiring compliance. Any failure to obey the order of the court may be punished by the court as contempt thereof.

History. Enact. Acts 1992, ch. 287, § 11, effective July 14, 1992; 1996, ch. 318, § 14, effective July 15, 1996.

11A.100. Procedures for administrative hearings — Action by commission.

  1. The provisions of KRS Chapter 13B shall apply to all commission administrative hearings, except for the provisions of:
    1. KRS 13B.030(2)(b);
    2. KRS 13B.050(1), (2), and (3) when a party fails to file an answer or otherwise participate; and
    3. KRS 13B.090(7).
  2. All administrative hearings of the commission carried out pursuant to the provisions of this section shall be public, unless the members vote to go into executive session in accordance with KRS 61.810 .
  3. The commission, upon a finding pursuant to an administrative hearing that there has been clear and convincing proof of a violation of this chapter, may:
    1. Issue an order requiring the violator to cease and desist the violation; and
    2. Issue an order requiring the violator to file any report, statement, or other information as required by this chapter; and
    3. In writing, publicly reprimand the violator for potential violations of the law and provide a copy of the reprimand to the alleged violator’s appointing authority, if any; and
    4. In writing, recommend to the violator’s appointing authority that the violator be removed or suspended from office or employment, and include a recommendation for length of suspension, to be approved by the appointing authority, if any; and
    5. Issue an order requiring the violator to pay a civil penalty of not more than five thousand dollars ($5,000) for each violation of this chapter.
  4. In addition to any other remedies provided by law, any violation of this chapter which has substantially influenced the action taken by any state agency in any particular matter shall be grounds for voiding, rescinding, or canceling the action on such terms as the interests of the state and innocent third persons require.
  5. The commission shall refer to the Attorney General evidence of violations of KRS 11A.040 for prosecution. The Attorney General shall have responsibility for all prosecutions under the law and may request from the commission all evidence collected in its investigation. The commission may represent itself through the general counsel in all subsequent proceedings.

HISTORY: Enact. Acts 1992, ch. 287, § 12, effective July 14, 1992; 1996, ch. 318, § 15, effective July 15, 1996; 1998, ch. 603, § 2, effective July 15, 1998; 2000, ch. 475, § 7, effective July 14, 2000; 2018 ch. 188, § 1, effective July 14, 2018.

NOTES TO DECISIONS

Cited in:

Exec. Branch Ethics Comm’n v. Stephens, 92 S.W.3d 69, 2002 Ky. LEXIS 200 ( Ky. 2002 ); Molina Healthcare of Ky., Inc. v. Anthem Ky. Managed Care Plan, Inc., 2022 Ky. App. LEXIS 84 (Ky. Ct. App. Sept. 9, 2022).

Opinions of Attorney General.

A finding of no probable cause is not a “final determination” such as one reached at the conclusion of a full-blown adjudicatory hearing conducted under KRS 11A.100(3). It is, instead, an option available to the Commission if, in the course of a preliminary investigation, it determines that the complaint does not allege facts sufficient to constitute a violation of KRS Chapter 11A. Records pertaining to such preliminary investigative findings, including minutes of executive sessions of the Commission, are expressly excluded from public inspection by operation of KRS 11A.080(2). OAG 02-ORD-44.

11A.110. Additional duties of commission.

The commission shall perform the following additional duties:

  1. On its own initiative or upon a signed request in writing, issue and publish advisory opinions on the requirements of this chapter for those who wish to use the opinion to guide their own conduct. If requested in writing by the person seeking the advisory opinion, the commission shall not release that person’s name;
  2. Provide a continuing program of education, assistance, and information to public servants, including, but not limited to, publishing and making available to the persons subject to this chapter and the public explanatory information concerning this chapter, the duties imposed by it, and the means of enforcement;
  3. Promulgate administrative regulations in accordance with KRS Chapter 13A to implement this chapter, including, if required by the commission, electronic filing of disclosure statements by executive agency lobbyists, their employers, or real parties in interest;
  4. Prescribe forms for statements required by this chapter and furnish the forms to persons required to file the statements. The forms shall be adopted as administrative regulations or adopted by reference in an administrative regulation;
  5. Prepare and publish a manual of guidelines setting forth uniform methods of reporting for use by persons required to file under this chapter;
  6. Accept and file any information voluntarily supplied that exceeds the requirements of this chapter;
  7. Preserve the disclosure statements filed with it for four (4) years from the date of receipt;
  8. Make statements and reports filed with the commission available for public inspection and copying pursuant to KRS 61.870 to KRS 61.884 (Kentucky Open Records Law);
  9. Compile and maintain a current index of all statements filed with the commission to facilitate public access to the reports and statements;
  10. Prepare and publish reports as it may deem appropriate;
  11. Audit statements and reports filed with the commission;
  12. Make recommendations for legislation relating to governmental ethics and other matters included in this chapter as the commission deems desirable; and
  13. Prepare a biennial written report, no later than December 1 of each odd-numbered year, to the Legislative Research Commission, the Governor, and the public on the activities of the commission in the preceding two (2) fiscal years. The report shall contain the names and duties of each individual employed by the commission and a summary of commission determinations and advisory opinions. The commission shall prevent disclosure of the identity of a person involved in decisions or advisory opinions. The report may contain other information on matters within the commission’s jurisdiction and recommendations for legislation as the commission deems desirable.

History. Enact. Acts 1992, ch. 287, § 13, effective July 14, 1992; 1998, ch. 429, § 4, effective July 15, 1998; 2019 ch. 74, § 4, effective June 27, 2019.

11A.120. Employment of public servant by state institution of higher education.

Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict a public servant from accepting outside employment in a state institution of higher education as long as that outside employment does not interfere or conflict with the public servant’s state employment duties. Nothing in this section shall prohibit or restrict a present or former public servant from accepting employment with a state institution of higher education immediately following termination of his office or employment in another state agency.

History. Enact. Acts 1992, ch. 287, § 14, effective July 14, 1992.

11A.130. Employment of officer or public servant in privatized agency by agency’s operator.

Nothing in this chapter shall be construed to prohibit an officer or public servant employed by an agency that is privatized from accepting employment from the person or business which is operating that agency if the officer or public servant was not involved in making the decision to privatize or in developing the provisions of the privatization contract.

History. Enact. Acts 1994, ch. 434, § 2, effective July 15, 1994; 1998, ch. 492, § 6, effective July 15, 1998.

Executive Agency Lobbying

11A.201. Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990.

As used in KRS 11A.201 to 11A.246 and KRS 11A.990 :

  1. “Compensation” means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or another;
    1. “Expenditure” means any of the following that is made to, or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or a member of the staff of any of the officials listed in this paragraph:
      1. A payment, distribution, loan, advance, deposit, reimbursement, or gift of money, real estate, or anything of value, including, but not limited to, food and beverages, entertainment, lodging, transportation, or honoraria;
      2. A contract, promise, or agreement to make an expenditure; or
      3. The purchase, sale, or gift of services or any other thing of value.
    2. “Expenditure” does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code. “Expenditure” does not include the purchase, sale, or gift of services or any other thing of value that is available to the general public on the same terms as it is available to the persons listed in this subsection. “Expenditure” does not include a payment, contribution, gift, purchase, or any other thing of value that is made to or on behalf of any elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of the officials listed in this paragraph who works for a state agency for which the executive agency lobbyist is not registered to influence;
  2. “Employer” means any person who engages an executive agency lobbyist;
  3. “Engage” means to make any arrangement, and “engagement” means arrangement, whereby an individual is employed or retained for compensation to act for or on behalf of an employer to influence executive agency decisions or to conduct any executive agency lobbying activity;
  4. “Financial impact” means to have an effect on the financial position of the employer of the executive agency lobbyist or the real party in interest whether or not the impact is positive or negative;
    1. “Financial transaction” means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, or the ownership, or part ownership in common of any real or personal property or any commercial or business enterprise of whatever form or nature between the following:
      1. An executive agency lobbyist, his or her employer, a real party in interest, or a member of the immediate family of the executive agency lobbyist, his or her employer, or a real party in interest; and
      2. Any elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of the officials listed in this subparagraph.
    2. “Financial transaction” does not include any transaction or activity described in paragraph (a) of this subsection if it is available to the general public on the same terms;
  5. “Executive agency” means the office of an elected executive official, a cabinet listed in KRS 12.250 , or any other state agency, department, board, or commission controlled or directed by an elected executive official or otherwise subject to his or her authority. “Executive agency” does not include any court or the General Assembly;
  6. “Executive agency decision” means a decision of an executive agency regarding the expenditure of funds of the state or of an executive agency with respect to the award of a contract, grant, lease, or other financial arrangement under which those funds are distributed or allocated. This shall also include decisions made concerning:
    1. The parameters of requests for information, requests for proposals, and other forms of solicitation in KRS Chapter 45A or 176;
    2. Drafting, adopting, or implementing a budget provision;
    3. Administrative regulations or rules;
    4. An executive order; or
    5. Legislation or amendments thereto;
    1. “Executive agency lobbyist” means any person engaged to influence executive agency decisions or to conduct executive agency lobbying activity as one (1) of his or her main purposes regarding a substantial issue, including associations, coalitions, or public interest entities formed for the purpose of promoting or otherwise influencing executive agency decisions. The term “executive agency lobbyist” shall also include placement agents and unregulated placement agents.
    2. “Executive agency lobbyist” does not include an elected or appointed officer or employee of a federal or state agency, state college, state university, or political subdivision who attempts to influence or affect executive agency decisions in his or her fiduciary capacity as a representative of his or her agency, college, university, or political subdivision;
    1. “Executive agency lobbying activity” means contacts made to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation or otherwise influence the outcome of an executive agency decision by direct communication with an elected executive official, the secretary of any cabinet listed in KRS 12.250 , any executive agency official whether in the classified service or not, or a member of the staff of any one (1) of the officials listed in this paragraph.
    2. “Executive agency lobbying activity” does not include any of the following:
      1. The action of any person having a direct interest in executive agency decisions, if the person acting under Section 1 of the Kentucky Constitution, assembles together with other persons for their common good, petitions any person listed in paragraph (a) of this subsection for the redress of grievances or other proper purposes;
      2. Contacts made for the sole purpose of gathering information contained in a public record;
      3. Appearances before public meetings of executive agencies;
      4. News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television;
      5. The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subparagraph 4. of this paragraph;
      6. Publications primarily designed for, and distributed to, members of bona fide associations or charitable or fraternal nonprofit corporations;
      7. Professional services in preparing executive agency decisions, preparing arguments regarding executive agency decisions, or in advising clients and rendering opinions regarding proposed or pending executive agency decisions, if the services are not otherwise connected to lobbying; or
      8. Public comments submitted to an executive agency during the public comment period on administrative regulations or rules;
  7. “Executive agency official” means an officer or employee of an executive agency whose principal duties are to formulate policy or to participate directly or indirectly in the preparation, review, or award of contracts, grants, leases, or other financial arrangements with an executive agency;
  8. “Aggrieved party” means a party entitled to resort to a remedy;
  9. “Elected executive official” means the Governor, Lieutenant Governor, Secretary of State, Auditor of Public Accounts, State Treasurer, Attorney General, and Commissioner of Agriculture;
  10. “Person” means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert;
  11. “Staff” means any employee of the office of the Governor, or a cabinet listed in KRS 12.250 , whose official duties are to formulate policy and who exercises administrative or supervisory authority, or who authorizes the expenditure of state funds;
  12. “Real party in interest” means the person or entity on whose behalf an executive agency lobbyist is acting, if that person or entity is not the employer of the executive agency lobbyist;
  13. “Substantial issue” means contacts which are intended to influence a decision that involves one or more disbursements of state funds in an amount of at least five thousand dollars ($5,000) per year, or any budget provision, administrative regulation or rule, or legislative matter that financially impacts the executive agency lobbyist or his or her employer;
  14. “Placement agent” means an individual or firm who is compensated or hired by an employer or other real party in interest for the purpose of influencing an executive agency decision regarding the investment of the Kentucky Retirement Systems, the County Employees Retirement System, or the Kentucky Teachers’ Retirement System assets; and
  15. “Unregulated placement agent” means a placement agent who is prohibited by federal securities laws and regulations promulgated thereunder from receiving compensation for soliciting a government agency.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 45, effective September 16, 1993; 1996, ch. 172, § 1, effective July 15, 1996; 2000, ch. 417, § 6, effective December 1, 2000; 2012, ch. 75, § 2, effective April 11, 2012; 2013, ch. 106, § 2, effective June 25, 2013; 2019 ch. 74, § 5, effective June 27, 2019; 2020 ch. 127, § 8, effective July 15, 2020; 2020 ch. 79, § 12, effective April 1, 2021.

Legislative Research Commission Notes.

(4/1/2021). This statute was amended by 2020 Ky. Acts chs. 79 and 127, which do not appear to be in conflict and have been codified together.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

Compiler’s Notes.

Section 501(c)(3) of the Internal Revenue Code, referred to in subdivision (2)(b), may be found as 26 USCS § 501(c)(3).

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Research References and Practice Aids

Cross-References.

Legislative lobbying, KRS 6.801 to 6.829 .

Legislator, influencing of state agency or appearing as a paid witness or representing clients before state agency, prohibitions and restrictions, KRS 6.744 .

Kentucky Bench & Bar.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.206. Requirements for executive agency lobbyists, their employers, and real parties in interest.

  1. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to register as required under KRS 11A.211 .
  2. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to keep a receipt or maintain a record that KRS 11A.216 requires the person to keep or maintain.
  3. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to file a statement that KRS 11A.216 requires the person to file.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 46, effective September 16, 1993; 1996, ch. 172, § 2, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.211. Registration statements for executive agency lobbyists, their employers, and real parties in interest — Fee — Trust and agency account for commission operations — Relationship of registration to state contracts.

  1. Each executive agency lobbyist, employer, and real party in interest shall file with the commission within ten (10) days following the engagement of an executive agency lobbyist, an initial registration statement showing all of the following:
    1. The name, business address, and occupation of the executive agency lobbyist;
    2. The name and business address of the employer and of any real party in interest on whose behalf the executive agency lobbyist is acting, if it is different from the employer. However, if a trade association or other charitable or fraternal organization that is exempt from federal income taxation under Section 501(c) of the Internal Revenue Code is the employer, the statement need not list the names and addresses of every member of the association or organization, so long as the association or organization itself is listed;
    3. A brief description of the executive agency decision to which the engagement relates;
    4. The name of the executive agency or agencies to which the engagement relates;
    5. Certification by the employer and executive agency lobbyist that the information contained in the registration statement is complete and accurate;
    6. Compensation paid to, or received by, each executive agency lobbyist, employer, and real party in interest as part of the engagement; and
    7. Certification that the employer and agent have complied with KRS 11A.236 .
  2. In addition to the initial registration statement required by subsection (1) of this section, each executive agency lobbyist, employer, and real party in interest shall file with the commission, not later than the last day of July of each year, an updated registration statement that confirms the continuing existence of each engagement described in an initial registration statement, that lists the specific executive agency decisions the executive agency lobbyist sought to influence under the engagement during the period covered by the updated statement, and the compensation paid to, or received by, each executive agency lobbyist, employer, and real party in interest as part of the engagement, and with it any statement of expenditures required to be filed by KRS 11A.216 and any details of financial transaction required to be filed by KRS 11A.221 .
  3. Compensation paid under subsection (1)(f) of this section shall be reported after it is received by, or paid to, each executive agency lobbyist, employer, and real party in interest as determined by the terms of the engagement, and shall be listed by the amount paid or received, the intervals on which the payment is paid or received, and shall include any other compensation received or paid as part of the engagement.
  4. If an executive agency lobbyist is engaged by more than one (1) employer, the executive agency lobbyist shall file a separate initial and updated registration statement for each engagement and list compensation paid to, or received by each executive agency lobbyist, employer, and real party in interest as part of the engagement. If an employer engages more than one (1) executive agency lobbyist, the employer shall file only one (1) updated registration statement under subsection (2) of this section, which shall contain the information required by subsection (2) of this section regarding all executive agency lobbyists engaged by the employer.
    1. A change in any information required by subsection (1)(a), (b), (c), (d), or (2) of this section shall be reflected in the next updated registration statement filed under subsection (2) of this section.
    2. Within thirty (30) days following the termination of an engagement, the executive agency lobbyist who was employed under the engagement shall file written notice of the termination with the commission.
  5. Each employer of one (1) or more executive agency lobbyists, and each real party in interest, shall pay a registration fee of five hundred dollars ($500) upon the filing of an updated registration statement. All fees collected by the commission under the provisions of this subsection shall be deposited in the State Treasury in a trust and agency fund account to the credit of the commission. These agency funds shall be used to supplement general fund appropriations for the operations of the commission and shall not lapse. No part of the trust and agency fund account shall revert to the general funds of this state.
  6. Upon registration pursuant to this section, an executive agency lobbyist shall be issued a card annually by the commission showing the executive agency lobbyist is registered. The registration card shall be valid from the date of its issuance through the thirty-first day of July of the following year.
  7. The commission shall review each registration statement filed with the commission under this section to determine if the statement contains all of the required information. If the commission determines the registration statement does not contain all of the required information or that an executive agency lobbyist, employer, or real party in interest has failed to file a registration statement, the commission shall send written notification of the deficiency by certified mail to the person who filed the registration statement or to the person who failed to file the registration statement regarding the failure. Any person so notified by the commission shall, not later than fifteen (15) days after receiving the notice, file a registration statement or an amended registration statement that includes all of the required information. If any person who receives a notice under this subsection fails to file a registration statement or an amended registration statement within the fifteen (15) day period, the commission may initiate an investigation of the person’s failure to file. If the commission initiates an investigation pursuant to this section, the commission shall also notify each elected executive official and the secretary of each cabinet listed in KRS 12.250 of the pending investigation.
  8. In the biennial report published under KRS 11A.110(13), the commission shall, in the manner and form the commission determines, include a report containing statistical information on the registration statements filed under this section during the preceding biennium.
  9. If an employer who engages an executive agency lobbyist, or a real party in interest on whose behalf the executive agency lobbyist was engaged is the recipient of a contract, grant, lease, or other financial arrangement pursuant to which funds of the state or of an executive agency are distributed or allocated, the executive agency or any aggrieved party may consider the failure of the real party in interest, the employer, or the executive agency lobbyist to comply with this section as a breach of a material condition of the contract, grant, lease, or other financial arrangement.
  10. Executive agency officials may require certification from any person seeking the award of a contract, grant, lease, or financial arrangement that the person, his or her employer, and any real party in interest are in compliance with this section.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 47, effective September 16, 1993; 1996, ch. 172, § 3, effective July 15, 1996; 2000, ch. 542, § 1, effective July 14, 2000; 2006, ch. 18, § 1, effective July 12, 2006; 2017 ch. 162, § 2, effective June 29, 2017; 2019 ch. 74, § 6, effective June 27, 2019; 2020 ch. 127, § 9, effective July 15, 2020.

Compiler’s Notes.

Section 501(c) of the Internal Revenue Code, referred to in subdivision (1)(b), may be found as 26 USCS § 501(c).

NOTES TO DECISIONS

1.Right to Petition.

The registration, reporting and disclosure provisions of this section is not an impermissible burden on Associated Industries of Kentucky’s freedom of association and right to petition, and the “chilling effect” of these provisions which prohibit anonymous lobbying is minimal in view of the governmental interest of curtailing lobbying abuse, thus they are not unconstitutional. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.216. Statements of expenditures.

  1. Each executive agency lobbyist, employer, and real party in interest shall file with the commission, with the updated registration statement required by KRS 11A.211(2), a statement of expenditures as specified in subsections (2) and (3) of this section. An executive agency lobbyist shall file a separate statement of expenditures under this section for each employer engaging him.
    1. In addition to the information required by paragraph (b) of this subsection, a statement filed by an executive agency lobbyist shall show the total amount of expenditures made by the lobbyist during the reporting period covered by the statement by the executive agency lobbyist.
      1. If, during a fiscal year, the real party in interest, the employer or any executive agency lobbyist he engaged made expenditures to or on behalf of a particular elected executive official, the secretary of a cabinet listed in KRS 12.250 , a particular executive agency official, or a particular member of the staff of any of those officials, the real party in interest, employer, or executive agency lobbyist also shall state the name of the official or employee on whose behalf the expenditures were made, the total amount of the expenditures made, a brief description of the expenditures made, and the approximate date the expenditures were made.
      2. Expenditures shall be reported on the expenditure statement for the reporting period that includes the date on which the expenditure was made.
    1. In addition to the information required by subsection (2)(b) of this section, a statement filed by a real party in interest or an employer shall show the total amount of expenditures during the period covered by the statement. As used in this subsection, “expenditures” does not include the expenses of maintaining office facilities or support services for executive agency lobbyists.
    2. An employer or real party in interest shall not be required to show any expenditure on a statement filed under this subsection if the expenditure is reported on a statement filed under subsection (2)(a) or (b) of this section by an executive agency lobbyist engaged by the employer.
  2. Any statement required to be filed under this section shall be filed at the times specified in KRS 11A.211 . Each statement shall cover expenditures made during the prior fiscal year.
  3. If it is impractical or impossible for an executive agency lobbyist, employer, or real party in interest to determine exact dollar amounts or values of expenditures, reporting of good faith estimates, based on reasonable accounting procedures, constitutes compliance with this section.
  4. Executive agency lobbyists, employers, and real parties in interest shall retain receipts or maintain records for all expenditures that are required to be reported pursuant to this section. These receipts or records shall be maintained for a period ending on the thirtieth day of June of the second fiscal year after the year in which the expenditure was made.
  5. At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file an expenditure statement under subsection (2)(b) of this section shall deliver a copy of the statement, or the portion showing the expenditure, to the official or employee who is listed in the statement as having received the expenditure or on whose behalf it was made.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 48, effective September 16, 1993; 1996, ch. 172, § 4, effective July 15, 1996; 2000, ch. 542, § 2, effective July 14, 2000.

NOTES TO DECISIONS

1.Right to Petition.

The registration, reporting and disclosure provisions of this section is not an impermissible burden on Associated Industries of Kentucky’s freedom of association and right to petition, and the “chilling effect” of these provisions which prohibit anonymous lobbying is minimal in view of the governmental interest of curtailing lobbying abuse, thus they are not unconstitutional. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.221. Statements of financial transactions.

  1. Any executive agency lobbyist who has had any financial transaction with, or for the benefit of, an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211(2). Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  2. Except as provided in subsection (5) of this section, any employer who has had any financial transaction with or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211 (2). The statement shall be filed at the times specified in KRS 11A.211 . Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  3. Except as provided in subsection (6) of this section, any real party in interest who has had any financial transaction with or for the benefit of any elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211 (2). The statement shall be filed at the times specified in KRS 11A.211 . Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  4. At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file a statement describing a financial transaction under this section shall deliver a copy of the statement to the official or employee with whom or for whose benefit the transaction was made.
  5. An employer shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist engaged by the employer.
  6. A real party in interest shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist who is acting on behalf of the real party in interest.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 49, effective September 16, 1993; 1996, ch. 172, § 5, effective July 15, 1996; 2000, ch. 542, § 3, effective July 14, 2000.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.226. Dispute resolution with respect to statements of expenditures and statements of financial transactions.

  1. If a dispute arises between an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials and a real party in interest, an employer, or an executive agency lobbyist with respect to an expenditure or financial transaction alleged in a statement to be filed under KRS 11A.216 or 11A.221 , the official, employee, real party in interest, employer, or executive agency lobbyist may file a complaint with the commission. The commission shall investigate the complaint.
  2. The complaint shall be filed at least three (3) days prior to the time the statement is required to be filed with the commission. The time for filing a disputed expenditure or financial transaction in any statement of expenditures or the details of a financial transaction shall be extended pending the final decision of the commission. This extension does not extend the time for filing the nondisputed portions of either type of statement. The commission shall notify the parties of its final decision by certified mail. If the commission decides the disputed expenditure or financial transaction should be reported, the employer, a real party in interest, or the executive agency lobbyist shall include the matter in an amended statement and file the amended statement not later than ten (10) days after receiving notice of the decision of the commission by certified mail.
  3. An employer, executive agency lobbyist, or real party in interest who files a false statement of expenditures or details of a financial transaction is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 50, effective September 16, 1993; 1996, ch. 172, § 6, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.231. Activities excepted from KRS 11A.211 and 11A.216.

  1. KRS 11A.211 and 11A.216 do not apply to efforts to influence executive agency decisions or conduct executive agency lobbying activity by any of the following:
    1. Appearances at public hearings of the committees or interim committees of the General Assembly, at court proceedings, at rule-making or adjudication proceedings, or at other public meetings;
    2. News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television;
    3. The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subsection (1)(b) of this section; or
    4. Publications primarily designed for and distributed to members of associations or charitable or fraternal nonprofit corporations.
  2. Nothing in KRS 11A.201 to 11A.246 requires the reporting of, or prohibits an elected executive official from soliciting or accepting, a contribution from or an expenditure by any person if the contribution or expenditure is reported in accordance with KRS Chapter 121.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 51, effective September 16, 1993; 2005, ch. 105, § 15, effective March 16, 2005.

11A.233. Influencing decision on award of economic incentive package — Disclosure statement by beneficiary.

  1. For purposes of KRS 11A.201 to 11A.246 , the term “executive agency lobbyist” does not include a person acting to promote, oppose, or otherwise influence the outcome of a decision of the Cabinet for Economic Development or any board or authority within or attached to that cabinet relating to the issuance or award of a bond, grant, lease, loan, assessment, incentive, inducement, or tax credit pursuant to KRS 42.4588 , 103.210 , Chapter 154, or Chapter 224A, or otherwise relating to any other component of an economic incentive package.
  2. Notwithstanding subsection (1), before any board or authority within or attached to the Cabinet for Economic Development takes final action on any contract or agreement by which any bond, grant, lease, loan, assessment, incentive, inducement, or tax credit is awarded, the beneficiary of an economic incentive package shall file with the approving board or authority a disclosure statement which shall contain:
    1. The identity of the beneficiary of an economic incentive package and any person employed to act on its behalf in its dealings with the Cabinet for Economic Development or any board or authority within or attached to that cabinet regarding the matters to which the contract or agreement refers; and
    2. The details of any financial transaction as defined in KRS 11A.201(6) (a) between the beneficiary or any other person listed as an employee or agent of the beneficiary as required by paragraph (a) of this subsection and any agent or public servant of the Cabinet for Economic Development, any member of any board or authority within or attached to that cabinet, or any other public servant involved in the negotiation of the economic incentive package.
  3. After final action by the board or authority, the Cabinet for Economic Development shall file the disclosure statement described in subsection (2) of this section with the Executive Branch Ethics Commission, but the cabinet may delete information identifying the beneficiary of the economic-incentive package if the cabinet believes that identification would damage economic development.
  4. No beneficiary of an economic incentive package as referred to in this section shall engage any person to influence decisions of the Cabinet for Economic Development or the approving board or authority for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding contracts or agreements specified in subsection (2) of this section, and no person shall accept any engagement to influence these decisions or conduct lobbying activities related to these decisions for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding these contracts or agreements.
  5. Subsection (4) of this section does not prohibit, and shall not be construed to prohibit, any person from compensating that person’s sales employees pursuant to any incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly-situated sales employees who are not engaged by the beneficiary of an economic incentive package in activities and functions referred to in this section.

History. Enact. Acts 1994, ch. 450, § 37, effective July 15, 1994; 2020 ch. 127, § 10, effective July 15, 2020.

11A.236. Prohibition against lobbying on a contingency basis — Exception for incentive compensation plans and placement agents.

  1. Except as provided in subsection (2) of this section, no person shall engage any persons to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded, and no person shall accept any engagement to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded. An employer who pays an executive agency lobbyist based on the awarding of a contract or payment of a percentage of a government contract awarded shall be barred from doing business with the Commonwealth for a period of five (5) years from the date on which such a payment is revealed to the Executive Branch Ethics Commission.
  2. Subsection (1) of this section does not prohibit, and shall not be construed to prohibit:
    1. Any person from compensating his or her sales employees pursuant to an incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly situated sales employees who are not executive agency lobbyists; or
    2. Any person from engaging a placement agent to influence investment decisions of the Kentucky Retirement Systems, County Employees Retirement System, and the Kentucky Teachers’ Retirement System for compensation that is contingent on the outcome of investment decisions by the retirement systems’ boards of trustees. The provisions of this paragraph shall not apply to unregulated placement agents.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 52, effective September 16, 1993; 2012, ch. 75, § 3, effective April 11, 2012; 2019 ch. 74, § 7, effective June 27, 2019; 2020 ch. 79, § 13, effective April 1, 2021.

Legislative Research Commission Notes.

(4/11/2012). The phrase “board of trustees” in subsection (2)(b) of this statute has been changed in codification to “boards of trustees.” This manifest clerical or typographical error has been corrected by the Reviser of Statutes under the authority of KRS 7.136(1).

11A.241. Commission’s duties with respect to executive agency lobbying.

  1. The commission shall keep on file the statements required by KRS 11A.211 , 11A.216 , and 11A.221 . These statements are public records and open to public inspection, and the commission shall computerize them so the information contained in them is readily accessible to the general public. The commission shall provide copies of the statements to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the statement.
  2. Not later than the last day of August of each year, the commission shall compile from the registration statements filed with it a complete and updated list of registered executive agency lobbyists and their employers, and real parties in interest and distribute the list to each elected executive branch official and the secretary of each cabinet listed in KRS 12.250 , who shall distribute the list to the appropriate personnel under their jurisdiction. The commission shall provide copies of the list to the public upon request and may charge a reasonable fee not to exceed the cost of copying and delivering the list.
  3. The commission shall maintain a list of all executive agency lobbyists. The commission shall provide copies of the list to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the document.
  4. The commission shall prescribe and make available an appropriate form for the filings required by KRS 11A.211 , 11A.216 , and 11A.221 . The form shall contain the following notice in boldface type: “ANY PERSON WHO KNOWINGLY FILES A FALSE STATEMENT IS IN VIOLATION OF STATE LAW AND SUBJECT TO FINES AND OTHER PENALTIES.”
  5. Any rules adopted by the commission to implement KRS 11A.201 to 11A.246 shall be adopted by administrative regulations promulgated in accordance with KRS Chapter 13A.
  6. The commission shall publish a handbook that explains in clear and concise language the provisions of KRS 11A.201 to 11A.246 and make it available free of charge to executive agency lobbyists, employers, real parties in interest, and any other interested persons.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 53, effective September 16, 1993; 1996, ch. 172, § 7, effective July 15, 1996; 2000, ch. 542, § 4, effective July 14, 2000.

11A.246. Authorization for compliance investigations by Attorney General and his designees.

The Attorney General and any assistant or special counsel designated by him may investigate compliance with KRS 11A.201 to 11A.246 .

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 54, effective September 16, 1993.

Penalties

11A.990. Penalties — Time limitation on prosecution for violation of KRS 11A.040.

  1. Any person who violates KRS 11A.040 shall be guilty of a Class D felony. In addition:
    1. The judgment of conviction for a violation of KRS 11A.040 (2) shall recite that the offender is disqualified to hold office thereafter; and
    2. Any person who violates KRS 11A.040(1) to (5) shall be judged to have forfeited any employment, or constitutional or statutory office he holds, provisions of KRS Chapter 18A to the contrary notwithstanding.
  2. Any officer, public servant, or candidate required to file a statement of financial disclosure under KRS 11A.050 who does not file the statement by a date specified in that section shall have his salary withheld from the first day of noncompliance until he shall have completed the action required by law. The amount withheld shall be deducted from his overall pay and allowances and shall be recoverable upon the filing of the statement of financial disclosure. The commission may grant a reasonable extension of time for filing a statement of financial disclosure for good cause shown.
  3. Any person who maliciously files with the commission a false charge of misconduct on the part of any public servant or other person shall be fined not to exceed five thousand dollars ($5,000), or imprisoned in a county jail for a term not to exceed one (1) year, or both.
  4. Prosecution for violation of any provision of KRS 11A.040 shall not be commenced after four (4) years have elapsed from the date of the violation. Any executive agency lobbyist, employer, or real party in interest who violates any provision in KRS 11A.206 shall for the first violation be subject to a civil penalty not to exceed five thousand dollars ($5,000). For the second and each subsequent violation, he shall be guilty of a Class D felony.
  5. Any executive agency lobbyist, employer, or real party in interest who fails to file the initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216 , or who fails to remedy a deficiency in any filing in a timely manner, may be fined by the commission an amount not to exceed one hundred dollars ($100) per day, up to a maximum total fine of one thousand dollars ($1,000).
  6. Any executive agency lobbyist, employer, or real party in interest who intentionally fails to register, or who intentionally files an initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216 which he knows to contain false information or to omit required information shall be guilty of a Class D felony.
  7. An executive agency lobbyist, employer, or real party in interest who files a false statement of expenditures or details of a financial transaction under KRS 11A.221 or 11A.226 is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.
  8. Violation of KRS 11A.236 is a Class D felony.

History. Enact. Acts 1992, ch. 287, § 15, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 55, effective September 16, 1993; 1996, ch. 172, § 8, effective July 15, 1996; 1998, ch. 602, § 4, effective July 15, 1998; 1998, ch. 603, § 3, effective July 15, 1998; 2000, ch. 475, § 8, effective July 14, 2000.

Opinions of Attorney General.

Since interjection of “legislative agent” in the middle of subsection (6) of this section, a statute dealing with executive agency lobbysists, is a palpable mistake, subsection (6) of this section must be read to say “executive agency lobbyist” instead of “legislative agent” and “executive lobbyist” in this section should be read as “executive agency lobbyist.” OAG 94-40 .

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

CHAPTER 12 Administrative Organization

12.010. Definitions.

In this chapter, and throughout the Kentucky Revised Statutes where applicable and appropriate unless the context requires otherwise:

  1. “Organizational unit” means any unit of organization in the executive branch of the state government that is not an administrative body, including but not limited to any agency, program cabinet, department, bureau, division, section or office;
  2. “Department” means that basic unit of administrative organization of state government, by whatever name called, designated by statute or by statutorily authorized executive action as a “department,” such organization to be headed by a commissioner;
  3. “Division” means a major subdivision of a department established by statute or by statutorily authorized administrative action, such to be headed by a director;
  4. “Branch” means a small grouping of logical workforce personnel, such to be headed by a manager;
  5. “Section” means a smaller grouping within a branch, such to be headed by a supervisor;
  6. “Unit” means the smallest grouping of coordinated employees, such to be headed by a leader;
  7. “Office” means a staff support or administrative function and shall be a major subdivision of a program cabinet only, such to be headed by an executive director;
  8. “Administrative body” means any multi-member body in the executive branch of the state government, including but not limited to any board, council, commission, committee, authority or corporation, but does not include “branch,” “section,” “unit” or “office”;
  9. “Program cabinet” means a group of departments, or departments and administrative bodies, designated by statute or statutorily authorized executive action as a “program cabinet.”

History. 4618-69: amend. Acts 1962, ch. 106, Art. I, § 1; 1974, ch. 74, Art. I, § 4; 1982, ch. 393, § 3, effective July 15, 1982; 1982, ch. 447, § 1, effective April 12, 1982.

Legislative Research Commission Notes.

This section was amended by two 1982 Acts which do not appear to be in conflict and have been compiled together.

NOTES TO DECISIONS

Analysis

1.County Boards.

This chapter makes no reference to county boards of education or their officers or members and its provisions were never intended to apply to boards on a county level. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

2.Administrative Boards.

In a declaratory action by unsuccessful nominees from an initial list, KRS 12.070(3) applied to the Governor’s appointment of members of a state university’s board of regents because the phrase “administrative boards and commissions,” while not defined in KRS 12.010 , could be construed pursuant to KRS 446.080 to include governing bodies of state universities. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

3.University.

Circuit court erred in concluding that the University of Kentucky was not in the executive branch of state government for purposes of Ky. Rev. Stat. § 45.237 et seq.; Ky. Rev. Stat. Ann. § 164.225 plainly provides that the University is an independent agency and instrumentality of the Commonwealth, and it is attached to the executive branch. Univ. of Ky. v. Moore, 599 S.W.3d 798, 2019 Ky. LEXIS 437 ( Ky. 2019 ).

Cited in:

Walker v. Felmont Oil Corp., 240 F.2d 912, 1957 U.S. App. LEXIS 4842 (6th Cir. 1957); Horn by Horn v. Commonwealth, 916 S.W.2d 173, 1995 Ky. LEXIS 145 ( Ky. 1995 ); Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ); Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

Notes to Unpublished Decisions

1.Department of Financial Institutions

Unpublished decision: Where appellants argued that the dismissal of a state department of financial institutions on the ground of governmental immunity was improper because the department was performing the proprietary function of negligently training and/or supervising its employees and authorizing or ratifying the tortious activities of its employees while they were on the job, the appellate court reviewed de novo; the appellate court found that under the test enunciated in Ernst, the department was clearly an arm of the state and its existence was confirmed as an administrative organization in KRS 12.010 . Salt Lick Bancorp v. FDIC, 187 Fed. Appx. 428, 2006 FED App. 0380N, 2006 U.S. App. LEXIS 13645 (6th Cir. Ky. 2006 ).

Opinions of Attorney General.

Since the Governor is defined as a department of state government, he is covered under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Lieutenant Governor, by virtue of his membership on the Legislative Research Commission, is included under KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The officers and employees of the Governor’s department would be included under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Kentucky Historical Society constitutes a department of state government. OAG 63-657 .

The Kentucky Trotting Commission and the Kentucky Racing Commission are not technically state agencies as envisioned in KRS Ch. 12. OAG 71-363 .

The office of social security is an office to handle public employees’ social security matters. The definition of office in subsection (7) of this section applies to the office for social security. OAG 82-593 .

Under the literal wording of this section and KRS 12.020 and 45.452 , the 30-day payment rule established in KRS 45.453 applies to the Corrections Cabinet’s payment to the counties of the reimbursement fees occasioned by the detention of convicted felons in county jails, pursuant to KRS 431.215 ; the invoices submitted by such affected counties must be consistent with KRS 431.215 (2). OAG 84-357 .

Neither the provisions of Chapter 12 nor the regulations found at 200 KAR 1:020 apply to the University of Louisville; Chapter 12 and 200 KAR 1:020 apply exclusively to specifically identified state level administrative agencies and officers and the University of Louisville is not one of them. OAG 99-ORD-69.

Research References and Practice Aids

Cross-References.

Administrative regulations, KRS Chapter 13A.

Eligibility of members of boards and commissions to other offices, KRS 61.070 .

Financial administration, KRS Chapters 41 to 48.

Governor, KRS Chapter 11.

Libraries and archives, KRS 171.125 et seq.

Personnel, KRS Chapter 18A.

Records and archives, KRS 171.410 et seq.

Kentucky Law Journal.

Kammerer, Legislative Research and Planning in Kentucky, 36 Ky. L.J. 379 (1948).

12.015. Administrative bodies to be included in department or program cabinet.

Unless specifically provided otherwise, each administrative body established by statute or statutorily authorized executive action shall be included for administrative purposes in an existing department or program cabinet. When an administrative body is established and the law establishing it does not specify the department or program cabinet within which the body is to be included, the Governor shall assign the body to an existing department or program cabinet in accordance with this chapter.

History. Enact. Acts 1962, ch. 106, Art. I, § 2; 1974, ch. 74, Art. I, § 5; 1982, ch. 447, § 4, effective January 1, 1984.

12.020. Enumeration of departments, program cabinets, and administrative bodies.

Departments, program cabinets and their departments, and the respective major administrative bodies that they include are enumerated in this section. It is not intended that this enumeration of administrative bodies be all-inclusive. Every authority, board, bureau, interstate compact, commission, committee, conference, council, office, or any other form of organization shall be included in or attached to the department or program cabinet in which they are included or to which they are attached by statute or statutorily authorized executive order; except in the case of the Personnel Board and where the attached department or administrative body is headed by a constitutionally elected officer, the attachment shall be solely for the purpose of dissemination of information and coordination of activities and shall not include any authority over the functions, personnel, funds, equipment, facilities, or records of the department or administrative body.

  1. Cabinet for General Government-Departments headed by elected officers:
    1. The Governor.
    2. Lieutenant Governor.
    3. Department of State.
      1. Secretary of State.
      2. Board of Elections.
      3. Registry of Election Finance.
    4. Department of Law.
      1. Attorney General.
    5. Department of the Treasury.
      1. Treasurer.
    6. Department of Agriculture.
      1. Commissioner of Agriculture.
      2. Agricultural Development Board.
      3. Kentucky Agricultural Finance Corporation.
    7. Auditor of Public Accounts.
  2. Program cabinets headed by appointed officers:
    1. Justice and Public Safety Cabinet:
      1. Department of Kentucky State Police.
        1. Office of Administrative Services.
          1. Division of Operational Support.
          2. Division of Management Services.
        2. Office of Operations.
          1. Division of West Troops.
          2. Division of East Troops.
          3. Division of Special Enforcement.
          4. Division of Commercial Vehicle Enforcement.
        3. Office of Technical Services.
          1. Division of Forensic Sciences.
          2. Division of Information Technology.
      2. Department of Criminal Justice Training.
      3. Department of Corrections.
      4. Department of Juvenile Justice.
      5. Office of the Secretary.
      6. Office of Drug Control Policy.
      7. Office of Legal Services.
      8. Office of the Kentucky State Medical Examiner.
      9. Parole Board.
      10. Kentucky State Corrections Commission.
      11. Office of Legislative and Intergovernmental Services.
      12. Office of Human Resource Management.
        1. Division of Human Resource Administration.
        2. Division of Employee Management.
      13. Department of Public Advocacy.
      14. Office of Communications.
        1. Information Technology Services Division.
      15. Office of Financial Management Services.
        1. Division of Financial Management.
      16. Grants Management Division.
    2. Energy and Environment Cabinet:
      1. Office of the Secretary.
        1. Office of Legislative and Intergovernmental Affairs.
        2. Office of Legal Services.
          1. Legal Division I.
          2. Legal Division II.
        3. Office of Administrative Hearings.
        4. Office of Communication.
        5. Mine Safety Review Commission.
        6. Office of Kentucky Nature Preserves.
        7. Kentucky Public Service Commission.
      2. Department for Environmental Protection.
        1. Office of the Commissioner.
        2. Division for Air Quality.
        3. Division of Water.
        4. Division of Environmental Program Support.
        5. Division of Waste Management.
        6. Division of Enforcement.
        7. Division of Compliance Assistance.
      3. Department for Natural Resources.
        1. Office of the Commissioner.
        2. Division of Mine Permits.
        3. Division of Mine Reclamation and Enforcement.
        4. Division of Abandoned Mine Lands.
        5. Division of Oil and Gas.
        6. Division of Mine Safety.
        7. Division of Forestry.
        8. Division of Conservation.
        9. Office of the Reclamation Guaranty Fund.
      4. Office of Energy Policy.
        1. Division of Energy Assistance.
      5. Office of Administrative Services.
        1. Division of Human Resources Management.
        2. Division of Financial Management.
        3. Division of Information Services.
    3. Public Protection Cabinet.
      1. Office of the Secretary.
        1. Office of Communications and Public Outreach.
        2. Office of Legal Services.
          1. Insurance Legal Division.
          2. Charitable Gaming Legal Division.
          3. Alcoholic Beverage Control Legal Division.
          4. Housing, Buildings and Construction Legal Division.
          5. Financial Institutions Legal Division.
          6. Professional Licensing Legal Division.
        3. Office of Administrative Hearings.
        4. Office of Administrative Services.
          1. Division of Human Resources.
          2. Division of Fiscal Responsibility.
      2. Office of Claims and Appeals.
        1. Board of Tax Appeals.
        2. Board of Claims.
        3. Crime Victims Compensation Board.
      3. Kentucky Boxing and Wrestling Commission.
      4. Kentucky Horse Racing Commission.
        1. Office of Executive Director.
          1. Division of Pari-mutuel Wagering and Compliance.
          2. Division of Stewards.
          3. Division of Licensing.
          4. Division of Enforcement.
          5. Division of Incentives and Development.
          6. Division of Veterinary Services.
      5. Department of Alcoholic Beverage Control.
        1. Division of Distilled Spirits.
        2. Division of Malt Beverages.
        3. Division of Enforcement.
      6. Department of Charitable Gaming.
        1. Division of Licensing and Compliance.
        2. Division of Enforcement.
      7. Department of Financial Institutions.
        1. Division of Depository Institutions.
        2. Division of Non-Depository Institutions.
        3. Division of Securities.
      8. Department of Housing, Buildings and Construction.
        1. Division of Fire Prevention.
        2. Division of Plumbing.
        3. Division of Heating, Ventilation, and Air Conditioning.
        4. Division of Building Code Enforcement.
      9. Department of Insurance.
        1. Division of Health and Life Insurance and Managed Care.
        2. Division of Property and Casualty Insurance.
        3. Division of Administrative Services.
        4. Division of Financial Standards and Examination.
        5. Division of Licensing.
        6. Division of Insurance Fraud Investigation.
        7. Division of Consumer Protection.
      10. Department of Professional Licensing.
        1. Real Estate Authority.
    4. Transportation Cabinet:
      1. Department of Highways.
        1. Office of Project Development.
        2. Office of Project Delivery and Preservation.
        3. Office of Highway Safety.
        4. Highway District Offices One through Twelve.
      2. Department of Vehicle Regulation.
      3. Department of Aviation.
      4. Department of Rural and Municipal Aid.
        1. Office of Local Programs.
        2. Office of Rural and Secondary Roads.
      5. Office of the Secretary.
        1. Office of Public Affairs.
        2. Office for Civil Rights and Small Business Development.
        3. Office of Budget and Fiscal Management.
        4. Office of Inspector General.
        5. Secretary’s Office of Safety.
      6. Office of Support Services.
      7. Office of Transportation Delivery.
      8. Office of Audits.
      9. Office of Human Resource Management.
      10. Office of Information Technology.
      11. Office of Legal Services.
    5. Cabinet for Economic Development:
      1. Office of the Secretary.
        1. Office of Legal Services.
        2. Department for Business Development.
        3. Department for Financial Services.
          1. Kentucky Economic Development Finance Authority.
          2. Finance and Personnel Division.
          3. IT and Resource Management Division.
          4. Compliance Division.
          5. Incentive Administration Division.
          6. Bluegrass State Skills Corporation.
        4. Office of Marketing and Public Affairs.
          1. Communications Division.
          2. Graphics Design Division.
        5. Office of Workforce, Community Development, and Research.
        6. Office of Entrepreneurship and Small Business Innovation.
          1. Commission on Small Business Innovation and Advocacy.
    6. Cabinet for Health and Family Services:
      1. Office of the Secretary.
        1. Office of the Ombudsman and Administrative Review.
        2. Office of Public Affairs.
        3. Office of Legal Services.
        4. Office of Inspector General.
        5. Office of Human Resource Management.
        6. Office of Finance and Budget.
        7. Office of Legislative and Regulatory Affairs.
        8. Office of Administrative Services.
        9. Office of Application Technology Services.
        10. Office of Data Analytics.
      2. Department for Public Health.
      3. Department for Medicaid Services.
      4. Department for Behavioral Health, Developmental and Intellectual Disabilities.
      5. Department for Aging and Independent Living.
      6. Department for Community Based Services.
      7. Department for Income Support.
      8. Department for Family Resource Centers and Volunteer Services.
      9. Office for Children with Special Health Care Needs.
    7. Finance and Administration Cabinet:
      1. Office of the Secretary.
      2. Office of the Inspector General.
      3. Office of Legislative and Intergovernmental Affairs.
      4. Office of General Counsel.
      5. Office of the Controller.
      6. Office of Administrative Services.
      7. Office of Policy and Audit.
      8. Department for Facilities and Support Services.
      9. Department of Revenue.
      10. Commonwealth Office of Technology.
      11. State Property and Buildings Commission.
      12. Office of Equal Employment Opportunity and Contract Compliance.
      13. Kentucky Employees Retirement Systems.
      14. Commonwealth Credit Union.
      15. State Investment Commission.
      16. Kentucky Housing Corporation.
      17. Kentucky Local Correctional Facilities Construction Authority.
      18. Kentucky Turnpike Authority.
      19. Historic Properties Advisory Commission.
      20. Kentucky Higher Education Assistance Authority.
      21. Kentucky River Authority.
      22. Kentucky Teachers’ Retirement System Board of Trustees.
      23. Executive Branch Ethics Commission.
      24. Office of Fleet Management.
    8. Tourism, Arts and Heritage Cabinet:
      1. Kentucky Department of Tourism.
        1. Division of Tourism Services.
        2. Division of Marketing and Administration.
        3. Division of Communications and Promotions.
      2. Kentucky Department of Parks.
        1. Division of Information Technology.
        2. Division of Human Resources.
        3. Division of Financial Operations.
        4. Division of Purchasing.
        5. Division of Facilities.
        6. Division of Park Operations.
        7. Division of Sales, Marketing, and Customer Service.
        8. Division of Engagement.
        9. Division of Food Services.
        10. Division of Rangers.
      3. Department of Fish and Wildlife Resources.
        1. Division of Law Enforcement.
        2. Division of Administrative Services.
        3. Division of Engineering, Infrastructure, and Technology.
        4. Division of Fisheries.
        5. Division of Information and Education.
        6. Division of Wildlife.
        7. Division of Marketing.
      4. Kentucky Horse Park.
        1. Division of Support Services.
        2. Division of Buildings and Grounds.
        3. Division of Operational Services.
      5. Kentucky State Fair Board.
        1. Office of Administrative and Information Technology Services.
        2. Office of Human Resources and Access Control.
        3. Division of Expositions.
        4. Division of Kentucky Exposition Center Operations.
        5. Division of Kentucky International Convention Center.
        6. Division of Public Relations and Media.
        7. Division of Venue Services.
        8. Division of Personnel Management and Staff Development.
        9. Division of Sales.
        10. Division of Security and Traffic Control.
        11. Division of Information Technology.
        12. Division of the Louisville Arena.
        13. Division of Fiscal and Contract Management.
        14. Division of Access Control.
      6. Office of the Secretary.
        1. Office of Finance.
        2. Office of Government Relations and Administration.
      7. Office of Legal Affairs.
      8. Office of Human Resources.
      9. Office of Public Affairs and Constituent Services.
      10. Office of Arts and Cultural Heritage.
      11. Kentucky African-American Heritage Commission.
      12. Kentucky Foundation for the Arts.
      13. Kentucky Humanities Council.
      14. Kentucky Heritage Council.
      15. Kentucky Arts Council.
      16. Kentucky Historical Society.
        1. Division of Museums.
        2. Division of Oral History and Educational Outreach.
        3. Division of Research and Publications.
        4. Division of Administration.
      17. Kentucky Center for the Arts.
        1. Division of Governor’s School for the Arts.
      18. Kentucky Artisans Center at Berea.
      19. Northern Kentucky Convention Center.
      20. Eastern Kentucky Exposition Center.
    9. Personnel Cabinet:
      1. Office of the Secretary.
      2. Department of Human Resources Administration.
      3. Office of Employee Relations.
      4. Kentucky Public Employees Deferred Compensation Authority.
      5. Office of Administrative Services.
      6. Office of Legal Services.
      7. Governmental Services Center.
      8. Department of Employee Insurance.
      9. Office of Diversity, Equality, and Training.
      10. Office of Public Affairs.
    10. Education and Labor Cabinet:
      1. Office of the Secretary.
        1. Office of Legal Services.
          1. Workplace Standards Legal Division.
          2. Workers’ Claims Legal Division.
          3. Workforce Development Legal Division.
        2. Office of Administrative Services.
          1. Division of Human Resources Management.
          2. Division of Fiscal Management.
          3. Division of Operations and Support Services.
        3. Office of Technology Services.
          1. Division of Information Technology Services.
        4. Office of Policy and Audit.
        5. Office of Legislative Services.
        6. Office of Communications.
        7. Office of the Kentucky Center for Statistics.
        8. Board of the Kentucky Center for Statistics.
        9. Early Childhood Advisory Council.
        10. Governors’ Scholars Program.
        11. Governor’s School for Entrepreneurs Program.
        12. Foundation for Adult Education.
      2. Department of Education.
        1. Kentucky Board of Education.
        2. Kentucky Technical Education Personnel Board.
        3. Education Professional Standards Board.
      3. Board of Directors for the Center for School Safety.
      4. Department for Libraries and Archives.
      5. Kentucky Environmental Education Council.
      6. Kentucky Educational Television.
      7. Kentucky Commission on the Deaf and Hard of Hearing.
      8. Department of Workforce Development.
        1. Career Development Office.
        2. Office of Vocational Rehabilitation.
          1. Division of Kentucky Business Enterprise.
          2. Division of the Carl D. Perkins Vocational Training Center.
          3. Division of Blind Services.
          4. Division of Field Services.
          5. Statewide Council for Vocational Rehabilitation.
          6. Employment First Council.
        3. Office of Employer and Apprenticeship Services.
          1. Division of Apprenticeship.
        4. Kentucky Apprenticeship Council.
        5. Division of Technical Assistance.
        6. Office of Adult Education.
        7. Office of the Kentucky Workforce Innovation Board.
      9. Department of Workplace Standards.
        1. Division of Occupational Safety and Health Compliance.
        2. Division of Occupational Safety and Health Education and Training.
        3. Division of Wages and Hours.
      10. Office of Unemployment Insurance.
      11. Kentucky Unemployment Insurance Commission.
      12. Department of Workers’ Claims.
        1. Division of Workers’ Compensation Funds.
        2. Office of Administrative Law Judges.
        3. Division of Claims Processing.
        4. Division of Security and Compliance.
        5. Division of Specialist and Medical Services.
        6. Workers’ Compensation Board.
      13. Workers’ Compensation Funding Commission.
      14. Kentucky Occupational Safety and Health Standards Board.
      15. State Labor Relations Board.
      16. Employers’ Mutual Insurance Authority.
      17. Kentucky Occupational Safety and Health Review Commission.
      18. Workers’ Compensation Nominating Committee.
      19. Office of Educational Programs.
      20. Kentucky Workforce Innovation Board.
      21. Kentucky Commission on Proprietary Education.
      22. Kentucky Work Ready Skills Advisory Committee.
      23. Kentucky Geographic Education Board.
  3. Other departments headed by appointed officers:
    1. Council on Postsecondary Education.
    2. Department of Military Affairs.
    3. Department for Local Government.
    4. Kentucky Commission on Human Rights.
    5. Kentucky Commission on Women.
    6. Department of Veterans’ Affairs.
    7. Kentucky Commission on Military Affairs.
    8. Office of Minority Empowerment.
    9. Governor’s Council on Wellness and Physical Activity.
    10. Kentucky Communications Network Authority.

History. 42i-4, 165-45, 938q-3, 1496-2, 4618-70: amend. Acts 1956 (1st Ex. Sess.), ch. 7, Art. I, § 1; 1960, ch. 68, Art. I; 1962, ch. 106, Art. I, § 3; 1964, ch. 115, § 1; 1970, ch. 92, § 3; 1974, ch. 74, Art. I, § 6; 1976, ch. 62, § 6; 1976, ch. 299, § 1; 1976, ch. 326, § 1; 1978, ch. 117, § 15, effective July 1, 1978; 1978, ch. 155, §§ 2, 104, effective June 17, 1978; 1980, ch. 295, § 2, effective July 15, 1980; 1982, ch. 184, § 1, effective July 15, 1982; 1982, ch. 381, § 5, effective July 15, 1982; 1982, ch. 382, § 28, effective July 15, 1982; 1982, ch. 393, § 4, effective July 15, 1982; 1982, ch. 399, § 7, effective July 15, 1982; 1982, ch. 447, § 5, effective April 12, 1982; 1982, ch. 448, § 57, effective July 15, 1982; 1984, ch. 334, § 1, effective July 13, 1984; 1984, ch. 388, § 1, effective July 13, 1984; 1986, ch. 60, § 1, effective July 15, 1986; 1986, ch. 64, § 1, effective July 15, 1986; 1986, ch. 474, § 2, effective July 15, 1986; 1988, ch. 205, § 2, effective July 15, 1988; 1990, ch. 316, § 2, effective July 13, 1990; 1990, ch. 321, § 1, effective July 13, 1990; 1990, ch. 325, § 20, effective July 13, 1990; 1990, ch. 377, § 2, effective July 13, 1990; 1990, ch. 378, § 3, effective July 13, 1990; 1990, ch. 379, § 2, effective July 13, 1990; 1990, ch. 399, § 2, effective July 13, 1990; 1990, ch. 470, § 63, effective July 1, 1990; 1990, ch. 476, Pt. II, § 52, effective July 1, 1991; 1990, ch. 484, § 1, effective July 13, 1990; 1992, ch. 109, § 38, effective March 30, 1992; 1992, ch. 159, § 2, effective July 14, 1992; 1992, ch. 211, § 1, effective July 14, 1992; 1992, ch. 288, § 47, effective July 14, 1992; 1994, ch. 176, § 6, effective July 15, 1994; 1994, ch. 181, § 8, effective April 4, 1994; 1994, ch. 208, § 2, effective July 15, 1994; 1994, ch. 209, § 1, effective July 15, 1994; 1994, ch. 215, § 2, effective July 15, 1994; 1994, ch. 216, § 1, effective July 15, 1994; 1994, ch. 227, § 1, effective July 15, 1994; 1994, ch. 405, § 3, effective July 15, 1994; 1994, ch. 422, § 1, effective April 16, 1994; 1994, ch. 469, § 33, effective July 15, 1994; 1994, ch. 499, § 5, effective July 15, 1994; 1994, ch. 508, § 3, effective July 15, 1994; 1996, ch. 113, § 1, effective July 15, 1996; 1996, ch. 217, § 1, effective July 15, 1996; 1996, ch. 241, § 1, effective July 15, 1996; 1996, ch. 244, § 2, effective July 15, 1996; 1996, ch. 271, § 3, effective July 15, 1996; 1996, ch. 310, § 5, effective July 15, 1996; 1996, ch. 358, § 2, effective July 15, 1996; 1996, ch. 360, § 5, effective July 15, 1996; 1996, ch. 362, § 6, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 28, effective May 30, 1997; 1998, ch. 48, § 2, effective July 15, 1998; 1998, ch. 50, § 1, effective July 15, 1998; 1998, ch. 58, § 1, effective July 15, 1998; 1998, ch. 65, § 1, effective July 15, 1998; 1998, ch. 66, § 1, effective July 15, 1998; 1998, ch. 69, § 1, effective July 15, 1998; 1998, ch. 82, § 1, effective July 15, 1998; 1998, ch. 83, § 1, effective July 15, 1998; 1998, ch. 89, § 2, effective July 15, 1998; 1998, ch. 154, § 2, effective July 15, 1998; 1998, ch. 284, § 2, effective July 15, 1998; 1998, ch. 333, § 1, effective July 15, 1998; 1998, ch. 353, § 5, effective July 15, 1998; 1998, ch. 396, § 2, effective July 15, 1998; 1998, ch. 426, § 61, effective July 15, 1998; 1998, ch. 493, § 9, effective April 10, 1998; 1998, ch. 498, § 9, effective July 15, 1998; 1998, ch. 579, § 1, effective July 15, 1998; 2000, ch. 3, § 2, effective July 14, 2000; 2000, ch. 6, § 1, effective July 14, 2000; 2000, ch. 14, § 1, effective July 14, 2000; 2000, ch. 31, § 1, effective July 14, 2000; 2000, ch. 46, § 3, effective July 14, 2000; 2000, ch. 85, § 1, effective July 14, 2000; 2000, ch. 156, § 1, effective July 14, 2000; 2000, ch. 203, § 5, effective July 14, 2000; 2000, ch. 221, § 2, effective July 14, 2000; 2000, ch. 374, § 17, effective July 14, 2000; 2000, ch. 387, § 3, effective July 14, 2000; 2000, ch. 417, § 7, effective December 1, 2000; 2000, ch. 506, § 10, effective July 14, 2000; 2000, ch. 536, § 10, effective July 14, 2000; 2001, ch. 1, § 9, effective June 21, 2001; 2001, ch. 5, § 2, effective June 21, 2001; 2001, ch. 16, § 1, effective June 21, 2001; 2001, ch. 27, § 7, effective June 21, 2001; 2001, ch. 34, § 6, effective June 21, 2001; 2001, ch. 38, § 1, effective June 21, 2001; 2001, ch. 70, § 1, effective March 15, 2001; 2001, ch. 137, § 2, effective June 21, 2001; 2001, ch. 149, § 13, effective March 20, 2001; 2001, ch. 164, § 1, effective June 21, 2002; 2002, ch. 12, § 5, effective July 15, 2002; 2002, ch. 190, § 1, effective July 15, 2002; 2002, ch. 300, § 1, effective July 15, 2002; 2002, ch. 338, § 48, effective July 15, 2002; 2003, ch. 7, § 1, effective June 24, 2003; 2003, ch. 29, § 4, effective June 24, 2003; 2003, ch. 31, § 1, effective June 24, 2003; 2003, ch. 40, § 1, effective June 24, 2003; 2003, ch. 41, § 1, effective June 24, 2003; 2003, ch. 54, § 2, effective June 24, 2003; 2004, ch. 191, § 1, effective July 13, 2004; 2005, ch. 9, § 1, effective June 20, 2005; 2005, ch. 35, § 2, effective June 20, 2005; 2005, ch. 85, § 1, effective June 20, 2005; 2005, ch. 95, § 7, effective June 20, 2005; 2005, ch. 97, § 1, effective June 20, 2005; 2005, ch. 98, § 1, effective June 20, 2005; 2005, ch. 99, § 7, effective June 20, 2005; 2005, ch. 123, § 2, effective June 20, 2005; 2005, ch. 181, § 1, effective June 20, 2005; 2006, ch. 152, § 2, effective July 12, 2006; 2006, ch. 172, § 2, effective July 12, 2006; 2006, ch. 181, § 1, effective July 12, 2006; 2006, ch. 210, § 1, effective July 12, 2006; 2006, ch. 211, § 3, effective July 12, 2006; 2007, ch. 18, § 1, effective June 26, 2007; 2007, ch. 24, § 2, effective June 26, 2007; 2007, ch. 47, § 6, effective June 26, 2007; 2007, ch. 85, § 7, effective June 26, 2007; 2007 (2nd Ex. Sess.), ch. 1, § 35, effective August 30, 2007; 2009, ch. 11, § 2, effective June 25, 2009; 2009, ch. 12, § 18, effective June 25, 2009; 2009, ch. 13, § 1, effective June 25, 2009; 2009, ch. 14, § 1, effective June 25, 2009; 2009, ch. 15, § 1, effective June 25, 2009; 2009, ch. 16, § 3, effective June 25, 2009; 2009, ch. 75, § 11, effective June 25, 2009; 2010, ch. 24, § 7, effective July 15, 2010; 2010, ch. 65, § 1, effective July 15, 2010; 2010, ch. 117, § 1, effective July 15, 2010; 2012, ch. 10, § 1, effective July 12, 2012; 2012, ch. 71, § 1, effective July 12, 2012; 2012, ch. 146, § 2, effective July 12, 2012; 2012, ch. 158, § 1, effective July 12, 2012; 2013, ch. 15, § 1, effective June 25, 2013; 2013, ch. 18, § 5, effective June 25, 2013; 2013, ch. 59, § 37, effective June 25, 2013; 2013, ch. 72, § 9, effective June 25, 2013; 2013, ch. 78, § 9, effective March 22, 2013; 2013, ch. 90, § 5, effective June 25, 2013; 2014, ch. 14, § 1, effective July 15, 2014; 2014, ch. 50, § 1, effective July 15, 2014; 2014, ch. 89, § 2, effective July 15, 2014; 2015 ch. 87, § 2, effective June 24, 2015; 2016 ch. 150, § 2, effective July 15, 2016; 2016 ch. 32, § 1, effective July 15, 2016; 2019 ch. 90, § 1, effective June 27, 2019; 2019 ch. 146, § 1, effective June 27, 2019; 2019 ch. 154, § 7, effective June 27, 2019; 2019 ch. 173, § 1, effective June 27, 2019; 2020 ch. 9, § 1, effective July 15, 2020; 2021 ch. 12, § 3, effective March 12, 2021; 2021 ch. 24, § 1, effective June 29, 2021; 2021 ch. 26, § 1, effective June 29, 2021; 2021 ch. 82, § 1, effective June 29, 2021; 2021 ch. 99, § 1, effective June 29, 2021; 2021 ch. 156, § 22, effective June 29, 2021; 2021 ch. 185, § 5, effective June 29, 2021; 2021 ch. 186, § 2, effective June 29, 2021; 2022 ch. 236, § 6, effective July 1, 2022; 2022 ch. 28, § 5, effective July 14, 2022; 2022 ch. 51, § 2, effective July 14, 2022; 2022 ch. 135, § 1, effective July 14, 2022.

Compiler’s Notes.

The section appears to incorporate a correction from the Reviser of Statutes in (5)(d)(4).

Legislative Research Commission Notes.

(7/14/2022). This statute was amended by 2022 Ky. Acts chs. 28, 51, 135, and 236, which do not appear to be in conflict and have been codified together.

(7/15/2014). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering system in Units I., II., and III. of this statute to conform to the format used in the Kentucky Revised Statutes. The words in the text and the placement of the entities were not changed.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

2022-2024 Budget Reference.

See State/Executive Branch Budget, 2022 Ky. Acts ch. 199, Pt. I, A, 8, (1) at 1638.

NOTES TO DECISIONS

1.Applicability.

This section and KRS 12.210 apply exclusively to expressly specified state level administrative agencies and officers and do not include county boards of education, their members and officers. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

2.Reorganization by Executive Order.

A department headed by a constitutional officer cannot be attached to a cabinet by executive order. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Department of Agriculture is not a “statutory administrative department” within the meaning of KRS 12.025 (repealed); hence that section is no authority for the transfer of any functions, funds, property or personnel from the Department by executive order. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Governor has neither the constitutional power nor the statutory authority to effect a reorganization of the Department of Agriculture by transferring various functions, personnel and funds to another executive agency and, among other things, placing it and several other agencies within a newly-created energy and agriculture cabinet. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The powers of transfer given to the Governor by KRS 12.025 (repealed) do not affect the department listed in this section as being headed by elected officers. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Cited in:

Osborne v. Commonwealth, Dep’t of Public Safety, 353 S.W.2d 373, 1962 Ky. LEXIS 15 ( Ky. 1962 ); Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ); Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977); Ex parte Farley, 570 S.W.2d 617, 1978 Ky. LEXIS 390 ( Ky. 1978 ).

NOTES TO UNPUBLISHED DECISIONS

1.Termination.

Public Protection Cabinet's decision to terminate the appointment of the Kentucky Horse Racing Commission's (KHRC) Chief State Steward because the Cabinet had statutory authority to perform administrative functions for the KHRC, which included personnel decisions; the Steward's appointment was null and void from the beginning, and thus, the circuit court could not order his employment to be reinstated. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

2.Construction.

Second clause of the statute exists to limit the first clause only when the administrative body is headed by a constitutionally elected officer, or when the administrative body is the Personnel Board; thus, exclusions in the second clause do not apply to the Cabinets that fall under the first clause, and if the Kentucky Horse Racing Commission is the Personnel Board or is headed by a constitutionally elected officer, only then do the exclusions apply. Commonwealth v. Veitch, 2016 Ky. App. LEXIS 122 (Ky. Ct. App. July 15, 2016, sub. op., 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016).

3.Administrative Functions.

Kentucky Horse Racing Commission (KHRC) is an administrative body that falls underneath the Public Protection Cabinet and is neither the Personnel Board nor is it headed by a constitutionally elected officer, and thus, none of the Ky. Rev. Stat. Ann. § 12.020 exclusions applies to it; reading Ky Rev. Stat. Ann. §§ 12.020 , 12.252 , and 230.225 in paria materia to harmonize and give each effect, the Cabinet may perform administrative functions for the KHRC, and they may include personnel decisions. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

Opinions of Attorney General.

Since the Governor is defined as a department of state government, he is covered under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Lieutenant Governor, by virtue of his membership on the Legislative Research Commission, is included under KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The officers and employees of the Governor’s department would be included under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

State agencies may make payment to the state auditor of the costs of the annual audit or other necessary audit and the auditor may receive such payments, reimbursements and/or inter-accounting to cover the costs of such proper services. OAG 68-348 .

The Kentucky Heritage Commission is a separate administrative body of state government with both policy making and advisory roles in carrying out its duties and functions under KRS 171.381 and should coordinate with other departments which may be expending funds on conservation, archaeological, economic, historic landmarks and other matters related to the commission’s functions and projects and also is advisory to the Governor on executive actions, legislative matters and in passing on the budget of the commission and on the budgets of other departments upon which the commission’s advice might be sought. OAG 75-80 .

The Governor may under KRS 12.025 (repealed) reorganize by executive order the Department of Agriculture, which is administered by a constitutional officer, until the General Assembly reconvenes since the Department of Agriculture is clearly a department for Chapter 12 purposes under this section, since the General Assembly has not specifically exempted a department headed by an elected official from the KRS 12.025 (repealed) reorganization powers of the Governor, as was done with certain other departments, and since the Governor in the absence of the General Assembly can prescribe through executive order the duties and responsibilities of the Commissioner of Agriculture under Ky. Const., § 91 and Ky. Const., § 93; however, the Governor cannot strip a constitutional officer of all duties under KRS 12.025 (repealed) and leave an empty shell for him to administer since the General Assembly could not do this while it was in session. OAG 81-3 .

Under the literal wording of this section and KRS 12.010 and 45.452 , the 30-day payment rule established in KRS 45.453 applies to the Corrections Cabinet’s payment to the counties of the reimbursement fees occasioned by the detention of convicted felons in county jails, pursuant to KRS 431.215 ; the invoices submitted by such affected counties must be consistent with KRS 431.215 (2). OAG 84-357 .

Upon review of KRS 342.215 and of subsection II 11 (f) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Workers’ Compensation Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive brand of government; therefore, it would appear that the members of the Workers’ Compensation Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature, especially since compensation for such board members is indexed to the salaries of appeals court judges. OAG 90-25 .

Upon review of KRS 346.030 , 64.640 , 44.070 and subdivision II 6. (k) (see now II. 4. (c)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Claims are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Claims are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 346.030 , 64.640 and subdivision II 6. (k) (see now II. 4. (b)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Crime Victims Compensation Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Crime Victims Compensation Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 131.315(1), 131.320 , and subdivision II 6. (m) (see now II 4. (d)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Tax Appeals are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Tax Appeals are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 439.320(1) and (3), 64.640 , and subdivision II 10. (a) (see now II 4. (c)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Parole Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Parole Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 117.015 and subdivision I 3. (b) (see now II 1. (i)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Elections are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Elections are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

The general listing of the Employers’ Mutual Insurance Authority (EMIA) in this section as an agency related to the Labor Cabinet of the Kentucky state government does not supersede the specific terms of KRS 342.803(3), which declare that neither the EMIA nor its liabilities shall constitute a debt or liability of the Commonwealth, or a pledge of the faith and credit of the Commonwealth; consequently, should the EMIA become insolvent the Commonwealth is not obligated for EMIA’s liabilities. OAG 95-37 .

Whether or not the mere listing of an agency in this section renders the Commonwealth liable for the obligations of an agency so listed, is a matter to be determined on a case by case basis, upon evaluation of specific facts. OAG 95-37 .

Research References and Practice Aids

Kentucky Law Journal.

Snyder and Irland, The Separation of Governmental Powers Under the Constitution of Kentucky: A Legal and Historical Analysis of L.R.C. v. Brown, 73 Ky. L.J. 165 (1984-85).

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part X, State Agencies, 52 Ky. L.J. 1 (1963).

12.022. Health and welfare agency — Administrator is agent to deal with federal government. [Repealed.]

Compiler’s Notes.

This section (Acts 1962, ch. 106, Art. I, § 4) was repealed by Acts 1970, ch. 225, § 1.

12.023. Organizational units and administrative bodies attached to the Governor’s office.

The following organizational units and administrative bodies shall be attached to the Office of the Governor:

  1. Council on Postsecondary Education;
  2. Department of Military Affairs;
  3. Department for Local Government;
  4. Kentucky Commission on Human Rights;
  5. Kentucky Commission on Women;
  6. Kentucky Commission on Military Affairs;
  7. Office of Minority Empowerment;
    1. The Martin Luther King Commission;
  8. Office of Homeland Security; and
  9. Kentucky Communications Network Authority.

HISTORY: Enact. Acts 1974, ch. 74, Art. I, § 7; 1976, ch. 299, § 2; 1978, ch. 155, §§ 3, 104, effective June 17, 1978; 1980, ch. 295, § 3, effective July 15, 1980; 1982, ch. 393, § 5, effective July 15, 1982; 1982, ch. 447, § 6, effective April 12, 1982; 1984, ch. 334, § 2, effective July 13, 1984; 1986, ch. 331, § 8, effective July 15, 1986; 1996, ch. 113, § 2, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 29, effective May 30, 1997; 1998, ch. 69, § 2, effective July 15, 1998; 1998, ch. 239, § 2, effective July 15, 1998; 1998, ch. 353, § 6, effective July 15, 1998; 1998, ch. 466, § 1, effective July 15, 1998; 2000, ch. 2, § 1, effective July 14, 2000; 2000, ch. 387, § 4, effective July 14, 2000; 2000, ch. 461, § 2, effective July 14, 2000; 2000, ch. 506, § 11, effective July 14, 2000; 2000, ch. 530, § 15, effective April 26, 2000; 2000, ch. 536, § 11, effective July 14, 2000; 2001, ch. 137, § 3, effective June 21, 2001; 2004, ch. 41, § 7, effective July 13, 2004; 2005, ch. 9, § 2, effective June 20, 2005; 2005, ch. 35, § 3, effective June 20, 2005; 2005, ch. 85, § 2, effective June 20, 2005; 2005, ch. 95, § 8, effective June 20, 2005; ch. 99, § 8, effective June 20, 2005; 2006, ch. 172, § 3, effective July 12, 2006; 2006, ch. 193, § 12, effective July 12, 2006; 2006, ch. 211, § 4, effective July 12, 2006; 2007, ch. 47, § 7, effective June 26, 2007; 2007, ch. 85, § 8, effective June 26, 2007; 2007 (2nd Ex. Sess.), ch. 1, § 36, effective August 30, 2007; 2009, ch. 16, § 4, effective June 25, 2009; 2010, ch. 24, § 8, effective July 15, 2010; 2010, ch. 117, § 15, effective July 15, 2010; 2012, ch. 71, § 2, effective July 12, 2012; 2013, ch. 15, § 2, effective June 25, 2013; 2013, ch. 57, § 1, effective June 25, 2013; 2017 ch. 89, § 2, effective June 29, 2017; 2019 ch. 146, § 2, effective June 27, 2019; 2021 ch. 12, § 2, effective March 12, 2021.

Legislative Research Commission Notes.

(7/12/2012). 2012 Ky. Acts ch. 158, sec. 84, instructs the Reviser of Statutes to correct statutory references to agencies and officers affected by the Act, as it confirms the reorganization of the Cabinet for Health and Family Services within the executive branch, including the transfer of the Governor’s Council on Wellness and Physical Activity from the Office of the Governor to the Department for Public Health. Such a correction has been made in this statute.

2022-2024 Budget Reference.

See State/Executive Branch Budget, 2022 Ky. Acts ch. 199, Pt. I, A, 8, (1) at 1638.

12.025. Governor’s reorganization powers — Personnel board exempt. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. XV; 1962, ch. 106, Art. I, § 5; 1974, ch. 74, Art. I, § 14; 1982, ch. 139, § 1, effective July 15, 1982; 1982, ch. 447, § 22, effective April 12, 1982; 1982, ch. 448, § 58, effective July 15, 1982) was repealed by Acts 1982, ch. 447, § 23, effective January 1, 1984.

12.027. Temporary reorganization orders. [Repealed]

History. Enact. Acts 1962, ch. 106, Art. I, § 7; 1972, ch. 238, § 1; 1980, ch. 188, § 2, effective July 15, 1980; 1982, ch. 447, § 7, effective January 1, 1984; 1984, ch. 306, § 1, effective April 9, 1984; 1992, ch. 105, § 60, effective July 14, 1992; repealed by 2021 ch. 5, § 2, effective February 2, 2021.

12.028. Governor and elected state executive officers to submit proposals for change to General Assembly — Reorganization plans — Legislative monitoring — Lapsed funds.

  1. Recognizing the necessity for grouping related functions of organizational units and administrative bodies in order to promote greater economy, efficiency and improved administration, the Governor, the Kentucky Economic Development Partnership as created in KRS 154.10-010 , and other elected state executive officers may propose to the General Assembly, for its approval, changes in the state government organizational structure which may include the creation, alteration or abolition of any organizational unit or administrative body and the transfer of functions, personnel, funds, equipment, facilities, and records from one (1) organizational unit or administrative body to another.
  2. Any reorganization proposed under subsection (1) of this section shall be set forth in a reorganization plan which shall be filed with the Legislative Research Commission. The plan shall include:
    1. An explanation of each proposed change, including the need for the change;
    2. An estimate of any reduction or increase in expenditures, itemized as far as practicable, which the promulgating officer expects will result from the reorganization;
    3. A description of any improvements in the management, delivery of state services, and efficiency of state government operations which the promulgating officer expects will be realized as a result of the reorganization; and
    4. Specification of the effects of the reorganization on the budget and personnel of each affected organizational unit or administrative body, including but not limited to the amount of funds and the number of employees that will be transferred from one (1) organizational unit or administrative body to another, any reductions in the state workforce resulting from the reorganization, and the methods to be utilized to achieve such reductions.
  3. The Legislative Research Commission or the Legislative Oversight and Investigations Committee may monitor the implementation of any reorganization plan to determine the extent to which the anticipated improvements in economy, efficiency, or administration have been realized as a result of the reorganization and shall report its findings to the General Assembly.
  4. Funds transferred due to reorganization shall be maintained in separately designated accounts. Any excess funds resulting from a reorganization shall lapse to the general fund surplus account.

History. Enact. Acts 1982, ch. 447, § 2, effective January 1, 1984; 1984, ch. 306, § 2, effective April 9, 1984; 1992, ch. 105, § 61, effective July 14, 1992; 2021 ch. 5, § 1, effective February 2, 2021; 2021 ch. 14, § 9, effective March 12, 2021.

Legislative Research Commission Notes.

(3/12/2021). This statute was amended by 2021 Ky. Acts chs. 5 and 14, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

1.Constitutionality.

Once the General Assembly has made a determination that the power to reorganize state government in the interim periods between legislative sessions does exist, and determines that that power is in the hands of the Governor, such interim action is purely an executive function; accordingly, any authority given to the Legislative Research Commission to veto or substantially affect this statutorily instituted executive function is a violation of the separation of powers doctrine. Legislative Research Com. by Prather v. Brown, 664 S.W.2d 907, 1984 Ky. LEXIS 300 ( Ky. 1984 ) (Decided prior to 1984 amendment).

When the General Assembly grants the Governor the power to reorganize certain governmental agencies, it cannot also grant the Legislative Research Commission (LRC) the authority to veto such plans as are promulgated by the Governor; accordingly, the former provisions of subsection (2) of this section giving the LRC such veto authority were unconstitutional. Legislative Research Com. by Prather v. Brown, 664 S.W.2d 907, 1984 Ky. LEXIS 300 ( Ky. 1984 ) (Decided prior to 1984 amendment).

Governor of Kentucky properly issued an executive order, which made several temporary changes to various state education boards, because the boards fell within the ambit of the Governor’s statutory authority to temporarily reorganize boards outside of the legislative session. Furthermore, the Governor’s power did not violate the suspension or the education provisions of the Kentucky Constitution, or the separation of powers doctrine generally and the non-delegation doctrine specifically. Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

2.Legislative Confirmation.

Although some of the functions transferred out of the Department of Agriculture by an invalid executive order had originally been placed in the department by similar previous executive orders, this did not mean that those previous orders were also invalid, because those orders had been specifically ratified by the General Assembly. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Though the transfer of an existing, legislatively-created function from one executive agency or department to another is essentially an executive action, and is not an exercise of legislative power by the chief executive, the chief executive does not have the power to do it without legislative sanctions unless it is necessary in order for him to carry out a law or laws that the legislature has created without prescribing in sufficient detail how they are to be executed. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

3.Constitutional State Officers.

Except for the informational duty specified in Ky. Const., § 78, the officers named in Ky. Const., § 91 are not and cannot be placed under the control or supervision of the Governor. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Whatever powers, duties, personnel, funds or property are given by statute to an officer named in Ky. Const., § 91 they may be removed by statute and may be transferred by executive order if, and only if, such a transfer is authorized by statute. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

4.Department Headed by Constitutional State Officer.

A department headed by a constitutional state officer cannot be attached to a cabinet by executive order. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Governor has no constitutional or statutory power to transfer powers, duties, personnel, funds or property that have been assigned by the General Assembly to a department headed by an officer named in Ky. Const., § 91. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The powers of transfer given to the Governor by this section do not affect the departments listed in KRS 12.020 as being headed by elected officers. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

5.Department of Agriculture.

The Governor has neither the constitutional power nor the statutory authority to effect a reorganization of the Department of Agriculture by transferring various functions, personnel and funds to another executive agency and, among other things, placing it and several other agencies within a newly-created energy and agriculture cabinet. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

6.Mootness.

In a case in which the circuit court sustained the Attorney General's challenge to the Governor's authority under Ky. Rev. Stat. Ann. § 12.028 to abolish and reorganize the University of Louisville Board of Trustees and permanently enjoined the Governor from implementing the Executive Orders issued June 17, 2016, in connection with his effort, the Supreme Court held that intervening statutory law enacted by the General Assembly had rendered moot the legal issues decided by the circuit court. Accordingly, the appeal was dismissed. Bevin v. Beshear, 526 S.W.3d 89, 2017 Ky. LEXIS 435 ( Ky. 2017 ).

Cited in:

Hutsell v. Sayre, 5 F.3d 996, 1993 U.S. App. LEXIS 24888 (6th Cir. 1993).

Opinions of Attorney General.

The reorganization authority must be granted to the Executive Branch of state government and to the Chief Executive Officer, the Governor; under Ky. Const., § 69 the General Assembly cannot create a state executive agency and grant executive reorganization authority to such an agency because supreme executive power must be vested in the Governor. OAG 82-154 .

The provision of Acts 1982, ch. 447, giving the Legislative Research Commission authority to approve or disapprove a temporary reorganization by the Governor (this section) is unconstitutional since the General Assembly’s granting of reorganization authority to the Governor may not be subject to the approval of the Legislative Research Commission; the Legislative Research Commission’s exercise of such veto/approval authority would be tantamount to the General Assembly’s acting when not in session, which is prohibited by the separation of powers doctrine, Ky. Const., §§ 27, 28 and also 36; and, even if an attempt were made to establish the Legislative Research Commission as an executive agency, the General Assembly is prohibited by Ky. Const., § 69 from granting reorganization authority to such agency or any other created state executive agency if that authority is superior to that of the Governor. OAG 82-154 .

To the extent that KRS 156.016 , which gives the power of reorganization of the Department of Education to the Commissioner of Education, is considered to conflict with this section, which indicates that only the Governor or another elected state executive officer may file executive orders for reorganization, clearly, KRS 156.010 and 156.016 supersede this section in that KRS 156.010 and 156.016 were enacted into law more recently than this section and more specifically address the reorganization of the Department of Education. OAG 91-66 .

Research References and Practice Aids

Kentucky Law Journal.

Snyder and Irland, The Separation of Governmental Powers Under the Constitution of Kentucky: A Legal and Historical Analysis of L.R.C. v. Brown, 73 Ky. L.J. 165 (1984-85).

12.029. Governor’s advisory committee on reorganization.

The Governor may appoint advisory or study committees to assist and recommend to him on problems concerning the various functions, organizational units and administrative bodies of state government. Members of such committees shall serve without pay, but shall be reimbursed for necessary and actual expenses.

History. Enact. Acts 1982, ch. 447, § 3, effective January 1, 1984.

12.030. Distribution of work within agency or department. [Repealed.]

Compiler’s Notes.

This section (4618-154: amend. Acts 1962, ch. 106, Art. I, § 6) was repealed by Acts 1974, ch. 74, Art. I, § 14.

12.031. Inclusion of osteopaths within references to physicians in executive orders.

Any reference in an executive order to “medical doctor,” “M.D.,” or “physician” shall be deemed to include a doctor of osteopathy or D.O., unless either of those terms is specifically excluded.

History. Enact. Acts 2000, ch. 413, § 1, effective July 14, 2000.

12.035. Agency administrators. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. I, § 9) was repealed by Acts 1974, ch. 74, Art. I, § 14.

12.040. Heads of departments — Appointment of executive directors by Governor.

  1. The heads of departments shall have direction and control of their respective departments, and through their departments shall exercise the powers and perform the duties vested in the departments under their direction and control. Except as otherwise expressly provided by law, the heads of departments shall be appointed by the Governor for terms not exceeding four (4) years on the basis of their merit and fitness to perform the duties of their respective offices.
  2. Each department head shall maintain a pattern of organization capable of receiving the attachment of administrative bodies that have functions related to the general function of his department.
  3. Within the resources of his department, each department head shall provide administrative bodies in his department with such facilities and services as will enable those bodies to carry out the functions with which they are charged.
  4. The heads of all departments shall exercise supervision over the personnel and financial records of their respective departments.
  5. In case of a vacancy or in the absence or disability of the head of a department, the Governor may authorize the head of a division or other administrative officer to act as head of the department.
  6. When required by statute to appoint the head of an office, the Governor shall appoint an executive director for a term not exceeding four (4) years on the basis of merit and fitness to perform the duties of the office.

History. 4618-152, 4618-153: amend. Acts 1946, ch. 27, § 18; 1950, ch. 123, § 29; 1956 (1st Ex. Sess.), ch. 7, Art. I, § 2; 1962, ch. 106, Art. I, § 8; 2009, ch. 13, § 2, effective June 25, 2009.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Howard v. Denham, 303 Ky. 413 , 197 S.W.2d 907, 1946 Ky. LEXIS 862 ( Ky. 1946 ); Osborne v. Commonwealth, Dep’t of Public Safety, 353 S.W.2d 373, 1962 Ky. LEXIS 15 ( Ky. 1962 ); Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ).

Opinions of Attorney General.

The expenses of a potential job applicant should be allowed only in those extraordinary circumstances in which a complicated or difficult job, requiring real academic and work experience, cannot be filled properly and adequately without such extra recruitment consideration. OAG 69-347 .

Since the president and other employees of a university or state college are not appointed directly by the Governor or with the approval of the Governor, these officials, because of the peculiar language found in KRS 61.710 and by referral in this section and KRS 12.050 , are not required to file financial disclosure under the financial disclosure law. OAG 73-242 .

All of the commissioners of the Kentucky Savings Bond Authority, consisting of three ex officio members appointed under this section and four members appointed by the Governor under KRS 12.070 , are required to file in accordance with the financial disclosure act. OAG 73-726 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

Research References and Practice Aids

Cross-References.

For salaries of heads of constitutional administrative departments and independent agencies, see KRS 64.640 .

Bonds of department heads, amounts and conditions of, KRS 62.160 , KRS 62.180 .

Bonds to be required of employees handling money or property, KRS 62.170 .

Commissioner of fish and wildlife resources, appointment, salary, KRS 64.640 , KRS 150.061 .

Commissioner of alcoholic beverage control, appointment, term, KRS 241.015 .

Executive director of office of mine safety and licensing, KRS 351.060 .

Public Service Commission, commissioner, KRS 278.060 .

Secretary of labor, duties, KRS 336.050 .

12.050. Deputy heads of departments and directors of divisions and institutions.

Unless otherwise provided by law, deputy heads of departments, and directors of divisions and institutions shall be appointed by the heads of the departments and in statutory departments the appointment of deputy heads of departments, and heads of divisions shall be with the prior written approval of the Governor. In departments each division head shall report to the head of the department to which the division is assigned.

History. 4618-154, 4618-155: amend. Acts 1948, ch. 228; 1950, ch. 123, § 29; 1974, ch. 74, Art. I, § 13; 1982, ch. 393, § 6, effective July 15, 1982.

NOTES TO UNPUBLISHED DECISIONS

1.Non-merit Employee.

Kentucky Horse Racing Commission's (KHRC) Chief State Steward was a non-merit employee because he was appointed under the statute; the Steward was not entitled to reinstatement to his non-merit position. Commonwealth v. Veitch, 2016 Ky. App. LEXIS 122 (Ky. Ct. App. July 15, 2016, sub. op., 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016).

Cited in:

Reeves v. Fries, 292 Ky. 450 , 166 S.W.2d 985, 1942 Ky. LEXIS 116 ( Ky. 1942 ); Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ).

Opinions of Attorney General.

Since the president and other employes of a university or state college are not appointed directly by the Governor or with the approval of the Governor, these officials, because of the peculiar language found in KRS 61.710 and by referral in KRS 12.040 and this section, are not required to file financial disclosure under the financial disclosure law. OAG 73-242 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

Research References and Practice Aids

Cross-References.

Assistant treasurer’s salary fixed by treasurer, KRS 41.060 .

Compensation of state officers and employees, KRS 64.640 .

Financial institutions, qualifications and duties of deputy commissioner of, KRS 286.1-025 .

Executive director of office for agricultural marketing and product promotion, KRS 260.020 .

Director of Legislative Research Commission, salary, KRS 7.090 .

Supervisor of apprenticeship and training, appointment, KRS 343.030 .

12.060. Department staffs.

  1. The heads of statutory departments, with the approval of the secretary of personnel, may establish such subordinate positions as may be necessary and make appointments thereto, within the limitations of their appropriations, and removals therefrom. All appointees to such positions shall be under the supervision, direction, and control of the heads of the respective departments and shall perform such duties as the heads of the departments prescribe. The appointment of all employees not otherwise provided for shall be made by the heads of the departments.
  2. The head of any department, with the approval of the secretary of personnel, may abolish unnecessary offices and positions, transfer officers and employees between positions, and change the duties, titles and compensation of existing offices and positions, subject to any provision of law in relation thereto.

History. 4618-150, 4618-155: amend. Acts 1982, ch. 393, § 7, effective July 15, 1982; 1998, ch. 487, § 7, effective July 15, 1998.

NOTES TO DECISIONS

1.Approval of Departmental Actions.

Pursuant to subsection (2) of this section, the Secretary of Finance must approve certain departmental actions; notice to the detached Department of Personnel, formerly a part of the Department of Finance, does not comply. Heaton v. Department of Military Affairs, 684 S.W.2d 286, 1984 Ky. App. LEXIS 609 (Ky. Ct. App. 1984).

Cited in:

Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ); Personnel Bd. v. Heck, 725 S.W.2d 13, 1986 Ky. App. LEXIS 1488 (Ky. Ct. App. 1986).

Opinions of Attorney General.

The Personnel Board may promulgate and adopt rules of procedure establishing the hearing examiner system for hearing evidentiary matter in appeals from dismissals and directing the commissioner of personnel, on behalf of the Board, to take such administrative action as may be required to employ a hearing examiner or examiners meeting the qualifications fixed by the Board. OAG 68-411 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

An agency of state government may compensate its own employee for work done for that agency which is outside of that employee’s usual duties, and outside of the normal work hours under particular circumstances. OAG 91-145 .

If an employee works for a state agency full-time, he may only work for a second state agency, on his own time, inside or outside of the cabinet, upon the recommendation of his appointing authority and approval of the Commissioner of Personnel, and the agency for which the employee performs the secondary duties would be responsible for compensating the employee for those duties. OAG 91-145 .

If an employee works full-time for a department within a particular cabinet, he may obtain dual employment, on his own time, with another department within the same cabinet upon recommendation of the appointing authority and approval of the Commissioner of Personnel, and the agency for which the employee performs the secondary duties would be responsible for compensating the employee for those duties. OAG 91-145 .

Research References and Practice Aids

Cross-References.

Appointment and removal of employees, generally, KRS Chapter 18A.

Bonds to be required of employees handling money or property, KRS 62.170 .

Compensation of state officers and employees, KRS 64.640 .

Department of Corrections to employ on basis of merit only, KRS 196.210 .

Financial institutions examiners, appointment of, KRS 286.1-440 .

Department of Labor, employees, KRS 336.030 .

Department of Military Affairs, appointment and salary of officers and personnel, KRS 36.130 , 37.200 .

Transportation Cabinet, employment of personnel to administer financial responsibility law, KRS 187.300 .

Governor’s Cabinet, employees, KRS 147.120 .

Merit system for public assistance and child welfare personnel, KRS 199.420 .

Secretary of human resources to appoint staff for adoption, child care and placement duties, KRS 199.420 .

State Fair Board, employees and agents, KRS 247.130 .

State police, appointment and qualification of personnel of, civil service for officers, KRS 16.040 , 16.050 , 16.140 .

Unemployment Insurance Commission, employees of, KRS 341.125 .

12.070. Appointments to boards and commissions — Minority representation — Reimbursement for expenses when compensation not provided.

  1. For the purpose of this section, “minority” means American Indian; Alaskan native; African-American; Hispanic, including persons of Mexican, Puerto Rican, Cuban, and Central or South American origin; Pacific islander; or other ethnic group underrepresented on state boards and commissions.
  2. Except as otherwise expressly provided by law, the members of each administrative board or commission shall be citizens of Kentucky appointed by the Governor from the state at large on the basis of their interests in public affairs, their good judgment, and their knowledge and ability in the field of action of the department for which appointed, with a view to providing diversity of interests and points of view in the membership and without regard to their political or religious opinions or affiliations.
  3. Where appointments to administrative boards and commissions are made from lists submitted to him, the Governor may reject the list and require that other lists be submitted. Notwithstanding any provision to the contrary, in the event the current membership of a board or commission reflects a proportion of the minority group less than the proportion of the minority group in the total population of the Commonwealth, then the Governor may appoint a member of the minority group even if the list of nominees for a vacancy does not include a member of the minority group.
  4. Before entering upon the duties of their office, all members of administrative boards and commissions shall take the oath of office prescribed by Section 228 of the Constitution.
  5. When a board, commission, or similar administrative body is established and no provision is made for compensation of members, members shall serve without pay, but may receive reimbursement for their actual and necessary expenses.

History. 4618-120, 4618-156: amend. Acts 1962, ch. 106, Art. I, § 10; 1994, ch. 359, § 1, effective July 15, 1994.

Legislative Research Commission Notes.

Acts, 1976, ch. 206, sec. 1, provides: “Appointments of citizen at large members of boards and commissions covered by Acts 1976, ch. 206, shall be made when a vacancy occurs upon the board or commission. The governor may, in cases where he deems necessary, delay making a citizen at large appointment until a second vacancy occurs on the board or commission or a second vacancy occurs in a particular category of membership, but in no case shall he delay beyond a second vacancy the making of such appointments.”

NOTES TO DECISIONS

1.Applicability.

In a declaratory action by unsuccessful nominees from an initial list, KRS 12.070(3) applied to the Governor’s appointment of members of a state university’s board of regents because the phrase “administrative boards and commissions,” while not defined in KRS 12.010 , could be construed pursuant to KRS 446.080 to include governing bodies of state universities. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

2.Construction.

In a declaratory action by unsuccessful nominees from an initial list, although KRS 164.005(5)(a), which specifically applied to the appointment of board of regents members, could be interpreted to require the Governor to make such an appointment from the first list of nominees, such a construction would require the first sentence of KRS 12.070(3) to be given no effect; thus, the Governor properly made an appointment from the third list submitted. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

Cited in:

Elrod v. Willis, 305 Ky. 225 , 203 S.W.2d 18, 1947 Ky. LEXIS 778 ( Ky. 1947 ).

Opinions of Attorney General.

All of the commissioners of the Kentucky Savings Bond Authority, consisting of three (3) ex officio members appointed under KRS 12.040 and four (4) members appointed by the Governor under this section, are required to file in accordance with the Financial Disclosure Act. OAG 73-726 .

Research References and Practice Aids

Cross-References.

Bonds of employees of boards and commissions, KRS 62.170 .

Eligibility of members of boards and commissions to other office, KRS 61.070 .

Kentucky Bench & Bar.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits, Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

12.080. Administrative rules.

The Governor, with the approval of his executive cabinet, may prescribe such general rules for the conduct of the administrative departments as he deems necessary or expedient to give effect to the provisions of law relating to the administrative organization of state agencies. The head of each department may likewise prescribe such rules as he deems expedient for the proper conduct of the work of the department and for making effective the provisions of law, and not inconsistent therewith or with the general rules prescribed by the Governor.

History. 4618-157: amend. Acts 1974, ch. 74, Art. I, § 8.

Legislative Research Commission Notes.

Acts, 1976, ch. 206, § 1, provides: “Appointments of citizen at large members of boards and commissions covered by Acts 1976, ch. 206, shall be made when a vacancy occurs upon the board or commission. The governor may, in cases where he deems necessary, delay making a citizen at large appointment until a second vacancy occurs on the board or commission or a second vacancy occurs in a particular category of membership, but in no case shall he delay beyond a second vacancy the making of such appointments.”

Opinions of Attorney General.

This section, KRS 350.028 and 350.050 provide ample statutory authority authorizing the Department for Natural Resources and Environmental Protection (now Finance and Administration Cabinet) to impose the requirements of 30 C.F.R. part 705, concerning conflicts of interest, on its employees. OAG 78-335 .

12.090. Cooperation between departments.

Subject to rules prescribed by the secretary of the Finance and Administration Cabinet pursuant to law, any agency shall furnish to any other agency such services, labor and materials, as are requisitioned by the head of the other agency, and as its own facilities provide, through the same procedure and subject to the same measures of audit and control as other proposed expense. The expense shall be billed and charged to the agencies served, by transfers between appropriations. Agencies shall, so far as practicable, cooperate with each other in the use of services, quarters and equipment.

History. 4618-158: amend. Acts 1982, ch. 393, § 8, effective July 15, 1982.

Opinions of Attorney General.

The Kentucky Board of Ophthalmic Dispensers is required to furnish a list of all persons licensed by said Board as requested by the president of the Kentucky Board of Optometric Examiners. OAG 76-384 .

Research References and Practice Aids

Cross-References.

Department of Corrections may contract with other departments for employment of prisoners, KRS 197.120 .

Governor’s Cabinet, cooperation of departments with, KRS 147.070 .

Interstate water sanitation control commissions, state agencies to cooperate with, KRS 224.18-715 .

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

Northern Kentucky Law Review.

Ziegler, The Kentucky Open Records Act: A Preliminary Analysis, 7 N. Ky. L. Rev. 7 (1980).

12.100. Determination of conflicts between agencies.

In all cases where questions arise between agencies as to their respective functions, or where agencies issue conflicting orders or make conflicting rules, the Governor with the advice of the Governor’s Executive Cabinet shall determine the questions, and action shall be taken in accordance with such determination.

History. 4618-159: amend. Acts 1974, ch. 74, Art. I, § 9.

NOTES TO DECISIONS

1.Absence of Conflict.

Governor is without authority to transfer property utilization division from Department of Education to Department of Finance (now Finance and Administration Cabinet) in absence of conflict as to respective functions of two (2) agencies or conflicting orders or conflicting rules. Martin v. Chandler, 318 S.W.2d 40, 1958 Ky. LEXIS 125 ( Ky. 1958 ).

In a dispute over the use of a hearing officer from the Kentucky Office of the Attorney General (OAG), KRS 12.100 did not apply because the opinion of the OAG hearing officer was not an opinion of the OAG; rather, it was a quasi-judicial opinion rendered as part of the Commonwealth of Kentucky, Transportation Cabinet, Department of Vehicle Regulation’s administrative hearing process and was an opinion of the Cabinet. The dispute in this case actually involved a conflict between two statutes; therefore, the conflict did not have to be resolved by the Governor’s office. Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

Cited in:

Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ); Hancock v. Terry Elkhorn Mining Co., 503 S.W.2d 710, 1973 Ky. LEXIS 42 ( Ky. 1973 ).

12.110. Annual and biennial reports.

  1. The Governor shall prepare and submit to the Legislative Research Commission annual reports of the finances and operations of the state and such other reports as the General Assembly may prescribe or as the Governor may desire. The head of each statutory department shall make to the Governor an annual report and may at any time be required by the Governor to make any special report concerning the work under his charge, with his observations and recommendations thereon and pertinent statistics concerning the work of the department, each of which the Governor shall transmit to the Legislative Research Commission online, with such comments as the Governor may desire to make. All such annual reports shall observe the fiscal year of the state as the reporting year, and shall be published only to the extent ordered in writing by the Governor in accordance with KRS 57.390 .
  2. Agencies shall file all annual and biennial reports required by law to be made by agencies with the Governor, and a copy thereof in the office of the Secretary of State, which shall be preserved as a public record.

History. 3956b-1, 4618-160: amend. Acts 1980, ch. 44, § 2, effective July 15, 1980; 2011, ch. 42, § 2, effective June 8, 2011.

Research References and Practice Aids

Cross-References.

Auditor to report on state fair fund, KRS 247.190 .

Board of Dentistry, report, KRS 313.020 .

Board of Architects, report, KRS 323.210 .

Budget recommendations, KRS Ch. 48.

Secretary of labor, report, KRS 336.160 .

Commissioner of natural resources, report, KRS 351.160 .

Geological survey, reports of, KRS 151.040 .

Governor may employ auditors, KRS 11.070 , 11.090 , 11.100 , 11.110 .

Governor may require information from executive departments and transmit information to General Assembly, Ky. Const., §§ 78, 79.

Governor’s Cabinet, report, KRS 147.090 .

Insurance companies, report on, KRS 299.120 .

Kentucky Horse Racing Authority, report, KRS 230.270 .

Land patents issued, report on, KRS 56.310 .

Printing of reports, KRS 57.011 .

Psychologists, Board of Examiners of, report, KRS 319.030 .

Schools, report on, KRS 156.250 .

Treasurer and auditor, reports on accounts of, Ky. Const., § 53; KRS 43.060 .

Workers’ Compensation Board, annual report to Governor, KRS 342.435 .

12.120. Power to swear and examine witnesses.

The head of each administrative department and any representative authorized by him may administer oaths and examine witnesses under oath relative to any matter properly subject to inquiry, hearing or investigation in the conduct of the work of the department.

History. 4618-162.

Research References and Practice Aids

Cross-References.

Auditor may require information under oath, KRS 43.080 .

Department of Labor may issue subpoenas, KRS 336.060 .

Governor’s employees may require information under oath, KRS 11.100 .

Legislative Research Commission may subpoena and swear witnesses, KRS 7.110 .

Transportation Cabinet may subpoena witnesses and administer oaths, KRS 183.032 .

Unemployment Insurance Commission may administer oaths, KRS 341.200 .

12.130. Systematized plan of filing, bookkeeping and accounting.

The Governor shall cause each agency to keep a carefully systematized and well devised plan of filing, bookkeeping and accounting as prescribed by the Finance and Administration Cabinet.

History. 4618-167: amend. Acts 1974, ch. 74, Art. I, § 10.

Research References and Practice Aids

Cross-References.

Governor may have study or survey of state agencies made, KRS 11.080 to 11.110 .

Unified system of accounts for state, KRS 45.305 .

12.140. Records are public; inspection; certified copies. [Repealed.]

Compiler’s Notes.

This section (4618-161) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.410 to 171.740 .

12.141. Certified mail, use by state in lieu of registered mail. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 52) was repealed by Acts 1980, ch. 114, § 109 effective July 15, 1980.

12.145. Use of certified or registered mail by state agencies — Methods of delivery for correspondence or notifications.

Notwithstanding any other statute to the contrary, an agency of state government shall use certified mail or registered mail only for correspondence or notifications that the Finance and Administration Cabinet determines, by promulgation of administrative regulations under KRS Chapter 13A, warrant the proof of receipt that those methods of delivery provide. Upon the approval of the Finance and Administrative Cabinet’s administrative regulation, an agency of state government may use any method of governmental, commercial, or electronic delivery for any other correspondence or notification.

History. Enact. Acts 1980, ch. 114, § 1, effective July 15, 1980; 2012, ch. 139, § 1, effective July 12, 2012.

12.150. Department defined. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 1) was repealed by Acts 1944, ch. 7.

12.160. Administrative departments and agencies may employ attorneys; how employed; compensation. [Repealed.]

Compiler’s Notes.

This section (Enact Acts 1942, ch. 106, § 2) was repealed by Acts 1944, ch. 7.

12.170. Powers and duties of attorneys. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 3) was repealed by Acts 1944, ch. 7.

12.180. Effect on powers and duties of Attorney General. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 4) was repealed by Acts 1944, ch. 7.

12.190. Reproduction of records or papers by photographic process; use in evidence; destruction of originals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 97, § 1) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.410 to 171.740 .

12.195. Destruction or disposal of records; Records Control Board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 205, § 1) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.670 .

12.200. Definition for KRS 12.210 to 12.230.

The term “department” as used in KRS 12.210 to 12.230 shall be construed to mean and to include each and every executive or administrative department, program cabinet, division, office and independent agency as said terms are defined and set forth in KRS Chapter 12, and shall include any administrative department, program cabinet, division, office and independent agency heretofore or hereafter designated as such by the General Assembly.

History. Enact. Acts 1948, ch. 122, § 1; 1974, ch. 74, Art. I, § 11.

NOTES TO DECISIONS

Cited in:

Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

Opinions of Attorney General.

The Kentucky Historical Society constitutes a department of state government. OAG 63-657 .

Research References and Practice Aids

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

12.210. Power of Governor or state department to employ attorneys — Compensation — Employment by more than one department.

  1. The Governor, or any department with the approval of the Governor, may employ and fix the term of employment and the compensation to be paid to an attorney or attorneys for legal services to be performed for the Governor or for such department. An attorney hired for the collection of revenue owed to the state by a resident shall not be hired by personal service contract. The compensation and expenses of any attorney or attorneys employed under the provisions of this section shall be paid out of the appropriations made to such department as other salaries, compensation and expenses are paid, except when the terms of employment provide that the compensation shall be on a contingent basis, and in such event the attorneys may be paid the amount specified out of the moneys recovered by them or out of the general fund. If the Governor approves the employment, the terms of employment shall be duly entered by executive order upon the executive journal in the Office of the Secretary of State.
  2. An attorney may be employed pursuant to the provisions of subsection (1) of this section to render legal services for one (1) or more departments, boards, program cabinets, offices or commissions.

History. Enact. Acts 1948, ch. 122, § 2; 1960, ch. 68, Art. II, § 4; 1974, ch. 74, Art. I, § 12; 1984, ch. 405, § 1, effective July 13, 1984; 2000, ch. 532, § 7, effective July 14, 2000.

NOTES TO DECISIONS

1.Applicability.

KRS 12.020 and this section apply exclusively to expressly specified state level administrative agencies and officers and do not include county boards of education, their members and officers. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

Even though KRS 150.018 (now repealed) exempts the Department of Fish and Wildlife Resources from operation of KRS 12.025 (now repealed), since KRS 150.021 provides that the Department is a department within KRS Chapter 12 and since KRS 150.018 (now repealed) and 150.021 are not inconsistent this section is applicable to the Department. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

2.Approval of Governor.

Where approval of Governor to employ attorneys by commissioner of Department of Fish and Wildlife Resources in action brought by two discharged employees seeking reinstatement was neither sought nor obtained such attorneys cannot receive compensation out of public funds. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

3.Acts of Commission and Commissioners.

The commissioner and the members of the Commission of Fish and Wildlife Resources are the chief officers of the Department of Fish and Wildlife Resources and whatever official action they are authorized to and do take with respect to KRS 12.210 and 18.270 (now repealed) becomes the act of the Department. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

4.Special Counsel.
5.— Authorization.

A writing signed by the Governor, Attorney General and auditor, authorizing an attorney employed by the auditor to prosecute an action to escheat certain property, was sufficient authorization to sustain action, where defendant did not question authority by motion and affidavit. (Decided under prior law) Chesapeake & O. R. Co. v. Commonwealth, 189 Ky. 465 , 225 S.W. 145, 1920 Ky. LEXIS 452 ( Ky. 1920 ).

6.— Employment.

Where special counsel was hired with consent of the Governor to aid the Attorney General it was a condition precedent to the payment of fees to such counsel that they should have been fixed and agreed upon by the Governor and auditor. (Decided under prior law) Ray v. James, 112 S.W. 641 ( Ky. 1908 ).

Special counsel might have been employed in any action, proceeding, prosecution or matter affecting the interest of the state, or to investigate whether suit should have been brought or defense made by the commonwealth. (Decided under prior law) Commonwealth v. Roberta Coal Co., 186 Ky. 394 , 216 S.W. 584, 1919 Ky. LEXIS 227 ( Ky. 1919 ).

The Governor, when requested by the Attorney General, could have employed special counsel in any action, proceeding, prosecution or matter which affected the interest of the Commonwealth. (Decided under prior law) Gordon v. Morrow, 186 Ky. 713 , 218 S.W. 258, 1920 Ky. LEXIS 35 ( Ky. 1920 ); Commonwealth v. Roberta Coal Co., 186 Ky. 394 , 216 S.W. 584, 1919 Ky. LEXIS 227 ( Ky. 1919 ).

As the Secretary is a member of the executive cabinet, he is authorized and required to assist the Governor in his duties; accordingly, the Governor has the authority to order the Secretary to bring a suit to enforce the laws of Kentucky and the Secretary has the right to retain private counsel to assist him in so doing. Stars Interactive Holdings (IOM Ltd. v. Commonwealth ex rel. Tilley, 2018 Ky. App. LEXIS 321 (Ky. Ct. App. Dec. 21, 2018, sub. op., 2018 Ky. App. Unpub. LEXIS 980 (Ky. Ct. App. Dec. 21, 2018).

7.— Discharge.

Where special counsel was employed by the Governor at the request of the Attorney General for the purpose of investigating and collecting inheritance taxes due from a particular estate, the Governor or his successor might have discharged the special counsel at any time, subject to their right for compensation, and where the employment was on a contingent basis recovery would have been allowed on the basis of quantum meruit. (Decided under prior law) Gordon v. Morrow, 186 Ky. 713 , 218 S.W. 258, 1920 Ky. LEXIS 35 ( Ky. 1920 ).

Opinions of Attorney General.

Although the terms of the statute indicate that consultation between the Attorney General and the Governor should precede the Governor’s approval of the employment of an attorney and the contract of employment of the attorney is not binding until approved by the Governor, the Governor’s approval and an executive order authorizing the employment would effect a ratification of the contract regardless of the chronological order in which the selection by the department, consultation with the attorney general and approval by the Governor occurred. OAG 63-140 .

If counsel to represent the Commissioner of Fish and Wildlife Resources before the Personnel Board is employed pursuant to KRS 12.210 , and not supplied by the Attorney General, he will be paid from the funds of the Department of Fish and Wildlife Resources. OAG 63-140 .

The Board of Optometric Examiners may, with the concurrence of the departments of personnel and finance, and with the approval of the Governor, employ an attorney to fill the position of attorney for the board. OAG 69-696 .

Where an employee of the Department of Child Welfare (now Cabinet for Health and Family Services) is involved in criminal charges brought as the result of events which occurred while he was carrying out duties for the Department, the Attorney General could not represent the employee in a criminal defense but the Department’s attorney or special counsel, if such appointment is first approved by the Governor or a prior appointment of special counsel is ratified by the Governor, could do so; but in a civil matter the Attorney General, a departmental attorney, or special counsel may represent him if it is determined in the best interest of the Commonwealth. OAG 73-512 .

It is the duty of the Attorney General to represent state officers or departments in litigation in which the Commonwealth has an interest but it does not give a state officer or employee an enforceable right to representation when he is sued individually unless the Attorney General or the legal counsel of the department believes the state has an interest in the litigation. OAG 73-874 .

The contract for the defense of an employee of the state fire marshal’s office was between the Department of Insurance and the attorney and was entered into under the authority of this section with the approval of the Governor and was therefore legal at its inception and could legally be renewed until the purpose of the contract was accomplished; the fact that the Attorney General decided under KRS 12.211 not to undertake the defense was immaterial as to the validity of the contract. OAG 78-687 .

The Kentucky Development Finance Authority (KDFA), in employing legal services, is bound, as are other state agencies, to follow the usual state procedure as is involved in this section and KRS 41.110 , 41.120 , 45.360(3) (now repealed), and 45.705 to 45.720 (now repealed), and if the general assembly should later intend to remove KDFA from such procedures, it would have to do so by spelling it out in clear and unambiguous language. OAG 80-245 .

State university personal service contracts for legal services are subject to the provisions of this section; before consideration for approval of the contract by the Governor, the contract must be presented to the Attorney General for review, and the term of the contract may not exceed the biennium period in which it is executed. OAG 84-255 .

An arrangement made by a fiscal court with attorneys, pursuant to KRS 134.370 (now repealed), for the collection of taxes, does not make it a contract of employment by the state, even though the secretary of revenue approves the employment as relates to state taxes; thus such county contracts of employment would in no way violate the letter or spirit of KRS 45.717 (now repealed) and subsection (1) of this section. OAG 84-259 .

A state university, when procuring the services of an attorney, must comply with this section by first obtaining the approval of the Attorney General and the Governor; if the attorney is hired on a contract basis, as opposed to an employee basis, then the university must comply with the personal service contract procedures set out in KRS 45A.695 . OAG 92-19 .

Research References and Practice Aids

Cross-References.

Employment of attorneys by:

Adjutant general, KRS 37.310 , 38.240 .

Cabinet for Health and Family Services, KRS 210.330 , 212.270 .

Department of Labor, KRS 336.030 .

Department of Revenue, KRS 134.547 .

Governor, KRS 11.070 .

Teachers’ retirement system, KRS 161.370 .

Unemployment insurance commission, 341.570 .

Kentucky Law Journal.

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

12.211. Defense of civil action against state employee by Attorney General.

Upon request of an employee or former employee, the Attorney General may provide for the defense of any civil action brought against such employee in his official or individual capacity, or both, on account of an act or omission made in the scope and course of his employment as an employee of the Commonwealth and any of its agencies, except that neither the state, state employee, nor former state employee shall be subject to an action arising from discretionary acts or decisions pertaining to the design or construction of public highways, bridges, or buildings.

History. Enact. Acts 1976, ch. 362, § 1.

Opinions of Attorney General.

The purpose of the State Employees Defense Act, KRS 12.211 to 12.215 , is to assist the Governor in enlisting competent executives for his administration and to provide a means by which an executive sued for some discretionary act may have a legal defense without expending his personal fortune. OAG 76-565 .

The State Employees Defense Act, KRS 12.211 to 12.215 , does not apply where a child was pushed by an unknown child against the radiator located in the restroom of the Children and Youth Clinic located in the University of Louisville School of Medicine since there was no action against a named state employee and the act does not apply to negligent torts but only to discretionary actions or omissions by a state employee. OAG 76-565 .

The term “act or omission” as used in this section is a term of art which implies a voluntary, willing act as contrasted with carelessness and negligence. OAG 76-565 .

Actions for malpractice, such as suits for injury arising from mechanical or ministerial negligence, are not encompassed within the State Employees Defense Act. OAG 78-31 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

Snell, A Plea for a Comprehensive Liability Statute, 74 Ky. L.J. 521 (1985-86).

12.212. Attorney General may decline to defend when certain circumstances exist.

  1. The Attorney General may decline to provide for the defense of a civil action brought against an employee or former employee if he determines that:
    1. The act or omission was not within the scope and course of his employment as a state employee; or
    2. The employee or former employee acted or failed to act because of actual fraud, corruption, or actual malice on his part; or
    3. Defense of the action by the Commonwealth would create a conflict of interest between the Commonwealth and the employee or former employee; or
    4. Defense of the action would not be in the best interests of the Commonwealth.
  2. The Attorney General may delegate his authority to make these determinations to the chief administrative authority of any agency, institution, board, or commission whose employees are to be defended.

History. Enact. Acts 1976, ch. 362, § 2.

Opinions of Attorney General.

Nothing in 10 KAR 1:010 or this section requires the state to provide for the defense of an employee such as a Property Valuation Administrator. OAG 91-231 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

Snell, A Plea for a Comprehensive Liability Statute, 74 Ky. L.J. 521 (1985-86).

12.213. Governor to provide by regulation the methods for defense of state employees.

The Governor shall provide by regulation for the defense of employees or former employees of the Commonwealth pursuant to KRS 12.211 to 12.215 by one (1) or more of the following methods:

  1. By the Attorney General;
  2. By employing other counsel for this purpose as provided for in KRS 12.210 ;
  3. By authorizing the purchase of insurance which requires that the insurer provide or underwrite the cost of the defense; or
  4. By authorizing defense by counsel assigned to or employed by the department, agency, board, commission, bureau, or authority which employed the person requesting the defense.

History. Enact. Acts 1976, ch. 362, § 3; 2000, ch. 532, § 8, effective July 14, 2000.

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

12.214. Judgments to be paid out of general fund — Settlement of claims. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 362, § 4) was repealed by Acts 1978, ch. 15, § 2, effective June 17, 1978.

12.215. Expenses incurred by Attorney General to be paid out of general fund.

The expenses incurred by the Attorney General in defending state employees and former state employees shall not be charged against the regular budget of the Attorney General but shall be paid by the secretary of the Finance and Administration Cabinet from unappropriated general funds surplus in the State Treasury as a necessary governmental expense on vouchers submitted by the Attorney General and approved by the secretary. The expenses to be so paid include but are not limited to the cost of the time spent by salaried attorneys of the Attorney General’s office, contract attorneys, court reporters, and the cost of trial preparation and investigation.

History. Enact. Acts 1976, ch. 362, § 5.

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

12.220. Authority and duties of employed attorneys — Tax collection — Written opinions.

  1. Any attorney or attorneys employed pursuant to the provisions of KRS 12.210 shall have authority to appear as the attorney for and to represent the department in the trial and argument of any cases and proceedings in any and all courts, and before boards, governmental agencies and tribunals in or out of this Commonwealth whenever such department or any officer or employee thereof is a party in interest or the official rights, powers or duties of the department or of any officer or employee thereof are directly or indirectly affected.
  2. Such attorney or attorneys may institute and prosecute any suits, motions, actions and proceedings necessary to cause the assessment of property, the collection of taxes, and the payment of all claims, accounts, demands and judgments of the Commonwealth, for the assessment or collection of which the department may be charged by law, and to take all necessary steps by suit, motion, action or otherwise to collect or cause to be collected and paid into the State Treasury all such claims, demands, accounts and judgments. Any attorney or attorneys so employed shall attend to any litigation and legal business within and without the state, required of him or them by the terms of his or their employment; and also any litigation or legal business that any officer or employee of such department may have in connection with or growing out of his official duties or the official duties of the department; and he or they, upon the written request of any executive or ministerial officer of the department, shall give such department or officer his written opinion as to the duties of such officer and shall prepare proper drafts of all instruments of writing and perform such other legal services pertaining to the functions of the department as may be provided by the terms of employment.

History. Enact. Acts 1948, ch. 122, § 3; 1976 (Ex. Sess.), ch. 14, § 1, effective January 2, 1978.

Research References and Practice Aids

Cross-References.

Employment of attorneys to assess property and collect taxes, KRS 134.547 .

Kentucky Law Journal.

Note, Constitutionality of the Act Permitting State Departments and Agencies to Employ Attorneys, 31 Ky. L.J. 357 (1943).

12.230. Effect as to Attorney General and assistants.

KRS 15.020 shall remain in full force and effect, except to the extent the same is in conflict with KRS 12.200 to 12.220 and except to the extent therein provided nothing in those sections shall be construed, nor is the same intended to affect the tenure or compensation of any assistant attorney general appointed and serving pursuant to law. The Governor or any department may require the advice or services of the Attorney General and the assistant attorneys general in matters relating to the duties or functions of any such office or department.

History. Enact. Acts 1948, ch. 122, § 4; 1968, ch. 152, § 2.

Research References and Practice Aids

Kentucky Law Journal.

Akers, The Advisory Opinion Function of the Attorney General, 38 Ky. L.J. 561 (1950).

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

12.240. Agreements with agencies of other states — Approval — Limit on expenditures.

  1. The Governor is charged with the conduct of the relations of the Commonwealth with other states and governments. He is empowered to approve agreements between departments or agencies of the Commonwealth, and departments or agencies of other states and governments, for the accomplishment of purposes which are authorized by law to be accomplished in this state by the department or agency entering into the agreement.
  2. No agreement authorized by this section shall involve the expenditure of more than $12,000 in any one (1) year by any one (1) department or agency, except in the case of repairs to interstate bridges. Any such expenditure shall be made from funds already budgeted to the department or agency. Nothing in this section shall be construed to limit rights and powers conferred on any department or agency by existing statutes, or by statutes enacted during the 1950 session of the General Assembly.

History. Enact. Acts 1950, ch. 213; 1960, ch. 91.

Research References and Practice Aids

Kentucky Law Journal.

Ferguson, Interstate Agreements, 39 Ky. L.J. 31 (1950).

12.245. Administrative bodies to issue occupational license, permit, or certificate to members of the United States military, Reserves, or National Guard, veterans, and spouses of members and veterans holding similar license, permit, or certificate from other jurisdictions.

  1. An administrative body that issues a license, permit, certificate, or other document required to operate within a business, profession, or other occupation in the Commonwealth shall issue within thirty (30) days of receipt of a completed application a license, permit, certificate, or other document to a member of the United States military, Reserves, or National Guard, or to his or her spouse, or to a veteran or the spouse of a veteran, who is seeking a license, permit, certificate, or other document and currently holds or recently held equivalent documentation issued by another state, the District of Columbia, or any possession or territory of the United States unless:
    1. The license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States has been expired for more than two (2) years;
    2. The license, permit, certificate, or other documentation is not in good standing;
    3. The holder of the license, permit, certificate, or other document has had the license, permit, certificate, or other document suspended for disciplinary reasons; or
    4. The board can show substantive evidence of significant statutory deficiency in the training, education, or experience of the United States military service member, Reserves or National Guard member, veteran, or spouse, which could cause a health or safety risk to the public.
  2. The United States military service member, Reserves or National Guard member, veteran, or spouse shall submit:
    1. Proof of issuance of a valid license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States that is active or has been expired for less than two (2) years;
    2. Proof that the valid license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States is in good standing or was upon the date of expiration; and
    3. His or her DD-214 form or other proof of active or prior military service with an honorable discharge, discharge under honorable conditions, or a general discharge under honorable conditions.
  3. A United States military service member, Reserves or National Guard member, veteran, or spouse who holds a license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States who applies for a license, permit, certificate, or other document pursuant to subsection (1) of this section and is denied shall have the right to appeal the decision in accordance with KRS Chapter 13B.

HISTORY: 2018 ch. 58, § 1, effective July 14, 2018; 2019 ch. 113, § 1, effective June 27, 2019.

12.250. Program cabinets.

There are established within state government the following program cabinets:

  1. Justice and Public Safety Cabinet.
  2. Education and Labor Cabinet.
  3. Public Protection Cabinet.
  4. Transportation Cabinet.
  5. Cabinet for Economic Development.
  6. Cabinet for Health and Family Services.
  7. Finance and Administration Cabinet.
  8. Tourism, Arts and Heritage Cabinet.
  9. Personnel Cabinet.
  10. Energy and Environment Cabinet.

History. Enact. Acts 1974, ch. 74, Art. VII, § 1; 1978, ch. 186, § 20, effective March 29, 1978; 1980, ch. 295, § 4, effective July 15, 1980; 1982, ch. 393, § 9, effective July 15, 1982; 1982, ch. 396, § 2, effective July 15, 1982; 1984, ch. 404, § 7, effective July 13, 1984; 1984, ch. 414, § 2, effective July 13, 1984; 1988, ch. 205, § 3, effective July 15, 1988; 1990, ch. 325, § 21, effective July 13, 1990; 1992, ch. 211, § 4, effective July 14, 1992; 1992, ch. 417, § 1, effective July 14, 1992; 1994, ch. 209, § 2, effective July 15, 1994; 1998, ch. 48, § 3, effective July 15, 1998; 1998, ch. 154, § 3, effective July 15, 1998; 1998, ch. 426, § 62, effective July 15, 1998; 2005, ch. 85, § 3, effective June 20, 2005; 2005, ch. 95, § 9, effective June 20, 2005; 2005, ch. 99, § 9, effective June 20, 2005; 2005, ch. 123, § 3, effective June 20, 2005; 2006, ch. 211, § 5, effective July 12, 2006; 2007, ch. 85, § 9, effective June 26, 2007; 2009, ch. 11, § 3, effective June 25, 2009; 2009, ch. 16, § 5, effective June 25, 2009; 2010, ch. 24, § 9, effective July 15, 2010; 2022 ch. 236, § 7, effective July 1, 2022.

NOTES TO DECISIONS

1.Kentucky Parole Board.

U.S. Const., amend. XI barred a prisoner from asserting actionable 42 USCS § 1983 claims against the Commonwealth of Kentucky or the Kentucky Parole Board; the Commonwealth had not waived its immunity with regard to § 1983 claims asserted against it, and its immunity extended to the Board, which was designated by KRS 12.250 as an organizational unit within the Justice and Public Safety Cabinet of the Commonwealth. Even if sovereign immunity did not apply, the prisoner’s 42 USCS § 1983 claims would fail because neither the Commonwealth nor the Board was a “state actor” for § 1983 purposes. Long v. Ky. State Parole Bd., 2005 U.S. Dist. LEXIS 16997 (W.D. Ky. Aug. 12, 2005).

2.Cabinet for Health And Family Services.

Doctrine of sovereign immunity and the Eleventh Amendment barred a mother’s Fourteenth Amendment claims against Kentucky’s Cabinet for Health and Family Services (CHFS) and the Kentucky Department of Community Based Services (DCBS) because CHFS and DCBS were state entities, pursuant to KRS 12.250(6), and DCBS and CHFS had not waived their sovereign immunity. Carpenter v. Kentucky, 2008 U.S. Dist. LEXIS 95343 (E.D. Ky. Nov. 21, 2008).

12.252. Public Protection Cabinet — Organizational structure — Appointment of cabinet secretary.

  1. There is established within the Public Protection Cabinet a Department of Financial Institutions, a Department of Insurance, a Department of Housing, Buildings and Construction, a Department of Charitable Gaming, a Department of Professional Licensing, and a Department of Alcoholic Beverage Control. Each department shall be headed by a commissioner appointed by the Governor as required by KRS 12.040 and, where appropriate, by KRS 238.510 , 241.015 , and 304.2-020 . Commissioners shall be directly responsible to the secretary and shall perform the functions, powers, and duties provided by law and prescribed by the secretary.
  2. The secretary of the Public Protection Cabinet shall be appointed by the Governor in accordance with KRS 12.255 . The Office of the Secretary shall contain the following entities:
    1. The Office of Communications and Public Outreach, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ;
    2. The Office of Legal Services, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 and 12.210 ;
    3. The Office of Administrative Hearings, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 and 12.210 ; and
    4. The Office of Administrative Services, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050.
  3. There is established within the Public Protection Cabinet the Office of Claims and Appeals pursuant to KRS 49.010 .
  4. The Kentucky Horse Racing Commission is attached to the Public Protection Cabinet for administrative purposes only, except as provided in KRS 131.330 .
  5. There is established within the Public Protection Cabinet the Kentucky Boxing and Wrestling Commission, which shall be headed by an executive director appointed by the secretary with the approval of the Governor as required by KRS 12.050 . The executive director shall be directly responsible to the secretary and shall perform the functions, powers, and duties provided by law and prescribed by the secretary.

History. Enact. Acts 2010, ch. 24, § 6, effective July 15, 2010; 2017 ch. 70, § 21, effective June 29, 2017; 2017 ch. 74, § 53, effective June 29, 2017; 2017 ch. 178, § 8, effective June 29, 2017; 2018 ch. 31, § 2, effective July 14, 2018; 2018 ch. 176, § 2, effective July 14, 2018; 2021 ch. 185, § 6, effective June 29, 2021.

NOTES TO UNPUBLISHED DECISIONS

1.Termination.

Public Protection Cabinet's decision to terminate the appointment of the Kentucky Horse Racing Commission's (KHRC) Chief State Steward because the Cabinet had statutory authority to perform administrative functions for the KHRC, which included personnel decisions; the Steward's appointment was null and void from the beginning, and thus, the circuit court could not order his employment to be reinstated. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

2.Administrative Functions.

Kentucky Horse Racing Commission (KHRC) is an administrative body that falls underneath the Public Protection Cabinet and is neither the Personnel Board nor is it headed by a constitutionally elected officer, and thus, none of the Ky. Rev. Stat. Ann. § 12.020 exclusions applies to it; reading Ky Rev. Stat. Ann. §§ 12.020 , 12.252 , and 230.225 in paria materia to harmonize and give each effect, the Cabinet may perform administrative functions for the KHRC, and they may include personnel decisions. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

12.255. Office of secretary for each program cabinet established.

There is hereby established the office of secretary for each of the program cabinets listed in KRS 12.250 . Each of these program cabinets shall be headed by a secretary appointed by the Governor, each secretary shall be chairman of the related cabinet, and each secretary shall be bonded as required by KRS 62.160 .

History. Enact. Acts 1974, ch. 74, Art. VII, § 2; 1982, ch. 393, § 10, effective July 15, 1982; 1982, ch. 396, § 3, effective July 15, 1982; 1992, ch. 13, § 1, effective July 14, 1992.

12.260. Deputy secretaries in offices of secretary for public protection, for energy and environment, and for education and labor.

  1. There is hereby established in the Office of the Secretary of the Public Protection Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.
  2. There is hereby established in the Office of the Secretary of the Energy and Environment Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.
  3. There is hereby established in the Office of the Secretary of the Education and Labor Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.

History. Enact. Acts 1974, ch. 74, Art. VII, § 3; 1978, ch. 155, § 4, effective June 17, 1978; 1992, ch. 13, § 2, effective July 14, 1992; 2010, ch. 24, § 10, effective July 15, 2010; 2022 ch. 236, § 8, effective July 1, 2022.

12.265. Composition of cabinets.

The cabinets established in KRS 12.250 shall be composed of departments, boards and commissions as set forth in KRS 12.020 .

History. Enact. Acts 1974, ch. 74, Art. VII, § 4; 1976, ch. 299, § 3; 1978, ch. 155, § 5; 1978, ch. 186, § 21; 1980, ch. 141, § 8, effective July 15, 1980; 1980, ch. 295, § 5, effective July 15, 1980; 1982, ch. 393, § 11, effective July 15, 1982; 1982, ch. 447, § 14, effective April 12, 1982.

Legislative Research Commission Notes.

(1982). This section was amended by two 1982 Acts which do not appear to be in conflict and have been compiled together.

Opinions of Attorney General.

In order to promote greater economy, efficiency and improved administration, the Governor may, by an executive order clearly designating the order as being one relating to reorganization, merge the energy regulatory commission and the utility regulatory commission into one commission. OAG 80-567 .

The owner of interests in thoroughbred horses can hold an owner’s license to race those horses at Kentucky racetracks and at the same time serve as the Secretary of the Cabinet for Public Protection and Regulation, since the state racing commission as a component of the Cabinet pursuant to this section, is an independent agency of the state government which consists of members appointed by the Governor, but does not include the Secretary; accordingly, there would be no conflict of interest. OAG 81-385 .

There would be no conflict of interest where the Secretary of the Cabinet for Public Protection and Regulation, created under this section, also owned interests in buildings covered by various state codes generally supervised by the Department of Housing, Buildings and Construction under KRS 198B.030 or the Board of Housing, Buildings and Construction under KRS 198B.020 . OAG 81-385 .

12.267. Office of developmental planning in department for local government. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 155, § 6, effective June 17, 1978; 1980, ch. 295, § 6, effective July 15, 1980) was repealed by Acts 1982, ch. 396, § 58, effective July 15, 1982.

12.270. Cabinet secretaries — Authority, powers, and duties.

  1. The secretary of each cabinet shall:
    1. Be a member of the Governor’s Cabinet and shall serve as the Governor’s liaison in carrying out the responsibilities for overall direction and coordination of the departments, boards, and commissions included in the related cabinet;
    2. Recommend to the Governor desired reorganization affecting the related cabinet;
    3. Advise the Governor on executive actions, legislative matters, and other steps that may be desirable for better program service;
    4. Evaluate and pass upon all budget requests originated by the departments, boards, and commissions within the related cabinet;
    5. Advise the Governor on the appointment of commissioners and heads of units included in the related cabinet, except for those whose election or selection is otherwise provided for by law.
  2. Each secretary is authorized to accept and expend funds from any source, whether public or private, in support of the duties and responsibilities of the related cabinet.
  3. Each secretary shall have any and all necessary power and authority, subject to appropriate provisions of the statutes, to create such positions and to employ the necessary personnel in such positions to enable the secretary to perform the functions of his office.
  4. Each secretary shall have exclusive control and direction over the administration of the related cabinet programs as required by law.

History. Enact. Acts 1974, ch. 74, Art. VII, § 5; 1992, ch. 13, § 3, effective July 14, 1992.

Opinions of Attorney General.

The authority of a Cabinet Secretary “to accept and expend funds from any source, whether public or private, in support of the duties and responsibilities of the related cabinet” under KRS 12.270(2), is subject to Ky. Const., § 173 and KRS 61.190 (now repealed). OAG 81-385 .

While this section gives a state cabinet secretary “the responsibilities for overall direction and coordination of the departments, boards and commissions included in the related cabinet,” it in no respect makes the secretary, as such, a member of the departments, boards or commissions he heads, nor does it give the secretary voting authority or direct decision-making power over matters to come before such administrative bodies; accordingly, an individual who is a principal shareholder in a Kentucky national bank, who holds interests in restaurants licenses to sell alcoholic beverages, who holds interests in buildings subject to state codes, and who holds a thoroughbred owner’s license for state race tracks, may be appointed and serve as the Secretary of the Cabinet for public protection and regulation, even though administrative entities within that department regulate those activities. OAG 81-385 .

12.275. Judicial advisory council established. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VIII, G, § 1) was repealed by Acts 1980, ch. 295, § 95, effective July 15, 1980.

12.280. Spindletop foundation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VIII, K, § 1; 1978, ch. 155, § 104, effective June 17, 1978) was repealed by Acts 1982, ch. 393, § 51, effective July 15, 1982.

Legislative Research Commission Notes.

This section was amended by 1982 Acts Chapter 396, Section 4 and repealed by 1982 Acts Chapter 393, Section 51. Pursuant to KRS 446.260 , the repeal prevails.

12.290. Accessibility of state government services to deaf or hard-of-hearing persons.

Each department, program cabinet, and administrative body of state government shall promulgate administrative regulations to provide accessibility to all services by persons who are deaf or hard-of-hearing in compliance with federal mandates including 29 U.S.C. sec. 794 , a part of the Rehabilitation Act of 1973, and 42 U.S.C. secs. 12101 et seq., a part of the Americans With Disabilities Act of 1990. The administrative regulations shall require that interpreter services be provided to persons who are deaf or hard-of-hearing, if those persons make a timely request for the services.

History. Enact. Acts 1992, ch. 31, § 1, effective July 14, 1992.

12.295. KRS chapters governing organizational units and administrative bodies.

The following organizational units and administrative bodies shall be governed by their respective substantive chapters as set out below:

  1. Board of Directors for the Center for School Safety under KRS Chapter 158;
  2. Council on Postsecondary Education under KRS Chapter 164;
  3. Department of Education under KRS Chapters 156, 157, 158, 161, 163, and 167;
  4. Education Professional Standards Board under KRS Chapter 161;
  5. Kentucky Board of Education under KRS Chapters 156 and 157;
  6. Kentucky Commission on Deaf and Hard of Hearing under KRS Chapter 163; and
  7. Kentucky Educational Television under KRS Chapter 168.

History. Enact. Acts 2006, ch. 211, § 169, effective July 12, 2006.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

Substance Abuse Prevention

12.330. Kentucky Agency for Substance Abuse Policy (KY-ASAP) — Organization — Purpose — Members of KY-ASAP Board — Duties of board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 25; 2005, ch. 99, § 10) was repealed, reenacted and amended as KRS 15A.340 by Acts 2007, ch. 85, § 10, effective June 26, 2007.

12.332. Duties of KY-ASAP — Authority for administrative regulations — Reports. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 26; 2005, ch. 99, § 11; 2006, ch. 211, § 6) was repealed and reenacted as KRS 15A.342 by Acts 2007, ch. 85, § 11, effective June 26, 2007.

12.334. County tobacco addiction and alcohol and substance abuse advisory and coordination boards — Role of KY-ASAP — Local long-term community strategy. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 27; 2005, ch. 99, § 75) was repealed and reenacted as KRS 15A.344 by Acts 2007, ch. 85, § 12, effective June 26, 2007.

12.350. Office of Child Abuse and Domestic Violence Services. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 239, § 1, effective July 15, 1998) was repealed, reenacted and amended as KRS 194A.092 (now repealed) by Acts ch. 99, § 12, effective June 20, 2005.

12.354. Issuance of state professional license or certification to military service member or veteran — Qualification — Guidelines — Limitations.

  1. As used in this section, “administrative body” has the same meaning as in KRS 12.010 .
  2. Each administrative body that issues a license, permit, certificate, or other document that is required to operate within any business, profession, or occupation in the Commonwealth may issue a license, permit, certificate, or other document, or a temporary license, permit, certificate, or other document to a United States military service member or veteran who is seeking a license, permit, certificate, or other document under this section and has:
    1. Separated from the military with an honorable discharge, discharge under honorable conditions, or a general discharge under honorable conditions within two (2) years preceding the date of applying for the license, permit, certificate, or other document;
    2. Received training, education, or experience during active, National Guard, or federal reserve military service to the extent that such training, education, or experience satisfies the requirements established by law and administrative regulations of the respective board for the issuance of any license, permit, certificate, or other document, however styled or denominated, required for the practice of any business, profession, or occupation in the Commonwealth; and
    3. Submitted his or her DD214 form or other proof of satisfactory completion of military training to the administrative body as part of the license or certificate application.
  3. Nothing in subsection (2) of this section shall require an administrative body to issue a license, permit, certificate, or other document if the administrative body determines that the military training or experience does not meet the requirements established by the administrative body for the issuance of a license, permit, certificate, or other document to operate within a business, profession, or occupation in the Commonwealth.
  4. Administrative bodies that receive multiple requests under this section are directed to publish clear guidelines to clarify requirements. These guidelines may be published electronically, in print, or by the promulgation of administrative regulations.
  5. Military training and experience submitted under subsection (2) of this section shall not be used as a substitute or in lieu of:
    1. A postsecondary school degree when a degree is a prerequisite for a license, permit, certificate, or other document; or
    2. A specified examination when passage of an examination is a prerequisite for a license, permit, certificate, or other document.

HISTORY: 2017 ch. 60, § 1, effective June 28, 2017.

Licensure and Certification of Active Duty Military and Spouses

12.355. Renewal of professional license or certification held by active duty member of Armed Forces.

  1. Notwithstanding any other statute to the contrary, any member of the Armed Forces of the United States on active duty who, at the time of activation, was:
    1. A member in good standing with any administrative body of the state; and
    2. Duly licensed or certified to engage in his or her profession or vocation in the Commonwealth;

      shall be kept in good standing by the administrative body with which he or she is licensed or certified.

  2. While a licensee or certificate holder is an active duty member of the Armed Forces of the United States, the license or certificate referenced in subsection (1) of this section shall be renewed without:
    1. The payment of dues or fees;
    2. Obtaining continuing education credits when:
      1. Circumstances associated with military duty prevent obtaining training and a waiver request has been submitted to the appropriate administrative body; or
      2. The active duty military member performs the licensed or certified occupation as part of his or her military duties as annotated in Defense Department form 214 (DD 214); or
    3. Performing any other act typically required for the renewal of the license or certificate.
  3. The license or certificate issued under this section shall be continued as long as the licensee or certificate holder is a member of the Armed Forces of the United States on active duty and for a period of at least six (6) months after discharge from active duty.

History. Enact. Acts 2011, ch. 101, § 2, effective June 8, 2011.

12.357. Issuance of temporary or regular license or certificate to spouse of active duty member of Armed Forces.

  1. Notwithstanding any other statute to the contrary, an administrative body shall issue, without requiring the payment of dues or fees, a temporary or regular license or certificate within thirty (30) days to the spouse of a current member of the Armed Forces of the United States if the spouse of the service member meets the statutory requirements of the administrative body and applies to the administrative body in a format promulgated in administrative regulation by the administrative body.
  2. An application for temporary or regular licensure of the spouse of a current member of the Armed Forces of the United States shall include but not be limited to the following:
    1. Proof that the applicant is married to a current member of the Armed Forces of the United States;
    2. Proof that the applicant holds a valid license or certificate for the profession issued by another state, the District of Columbia, or any possession or territory of the United States; and
    3. Proof that the applicant’s spouse is assigned to a duty station in this state.
  3. A temporary license issued pursuant to this section shall expire six (6) months after the date of issuance and is not renewable.
    1. Notwithstanding any other statute to the contrary, except as provided in paragraph (b) of this subsection, an administrative body shall initially issue or renew any regular occupational license to the spouse of a current member of the Armed Forces of the United States if:
      1. The spouse meets the statutory requirements for initial issuance or renewal of the occupational license by the administrative body;
      2. The spouse applies for the initial issuance or renewal of the occupational license to the administrative body in a format promulgated in administrative regulation by the administrative body; and
      3. The spouse’s application for the initial issuance or renewal of the occupational license is submitted to the administrative body before the regular application deadline for the original license or renewal.
    2. An administrative body that requires payment of dues or fees for the submission of an electronic application for an occupational license shall, within thirty (30) days, refund the dues or fees paid by a spouse of a current member of the Armed Forces of the United States if the provisions of paragraph (a) of this subsection are met.

History. Enact. Acts 2011, ch. 101, § 3, effective June 8, 2011; 2022 ch. 107, § 1, effective July 14, 2022.

Early Childhood Education and Development

12.400. Legislative intent — Office of early childhood education and development established — Functions — Special assistant. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 1) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

12.401. Office of Early Childhood Development. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 461, § 1, effective July 14, 2000) was repealed by Acts 2006, ch. 211, § 170, effective July 12, 2006.

12.410. Governor’s interagency council on early childhood education and development established — Functions — Members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 2) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

12.420. Interagency advisory committee established — Members — Meetings — Operating expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 3) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

Persons with Disabilities

12.450. Definition of “disability” for KRS 12.450 to 12.465.

As used in KRS 12.450 to 12.465 , unless the context requires otherwise:

  1. “Disability” means, with respect to an individual:
    1. A physical or mental impairment that substantially limits one (1) or more of the major life activities of the individual;
    2. A record of such an impairment; or
    3. Being regarded as having such an impairment.
  2. Persons with current or past controlled substance abuse or alcohol abuse problems and persons excluded from coverage by the Americans with Disabilities Act of 1990 (Pub. L. No. 101-336) shall be excluded from the definition set out in subsection (1) of this section.

History. Enact. Acts 1996, ch. 336, § 1, effective July 15, 1996.

Compiler’s Notes.

The Americans with Disabilities Act of 1990 (Pub. L. No. 101-336), referred to in subsection (2), may be found as 42 USCS § 12101 et seq.

Section 8 of Acts 1996, ch. 336, read:

“This Act may be cited as the Kentucky Persons With Disabilities on State Agency Boards Act.”

Research References and Practice Aids

Northern Kentucky Law Review.

ADA Amendments Issue: Article: The Positive Impact of the Convention on the Rights of Persons with Disabilities: A Case Study on the South Pacific and Lessons From the U.S. Experience, 37 N. Ky. L. Rev. 363 (2010).

12.455. Legislative findings.

  1. The General Assembly recognizes that many persons with disabilities and their families receive some level of support and services that are funded or administered by state agencies. The support and services are provided to persons with disabilities or their families, if appropriate, either directly or through arrangements with local community-based vendors, organizations, or agencies.
  2. The General Assembly recognizes that persons with disabilities who receive the services and support, directly or indirectly, are often not consulted for their perspectives, nor are their viewpoints sought regarding the efficiency, strengths, or weaknesses of the services and support.
  3. Persons with disabilities and their families face obstacles in the court system through lack of understanding and difficulty of access.
  4. Various agencies in state government promulgate standards that govern the administration or operation of the services and support. Seldom are persons with disabilities or their families involved in the development of standards that directly affect the quality of the services and support that they receive. In addition, there are legislative commissions that serve in an advisory capacity concerning the services provided to persons with disabilities and their families, whose membership does not include persons with disabilities and their families.
  5. It is the finding of the General Assembly that:
    1. Some forms of discrimination against persons with disabilities continue. These persons are a discrete minority who have been faced with restrictions and limitations, subjected to a history of purposeful unequal treatment, and relegated to a position of political powerlessness in our society;
    2. Persons with disabilities and their families have a significant contribution to make in the decision-making processes that shape the support and services they receive through state government;
    3. Persons with disabilities and their families should be provided with meaningful opportunities to contribute their perspectives through their experiences concerning issues relating to services, support, and standards that ultimately affect them;
    4. Services and support should be responsive and sensitive to the cultural, racial, age, language, and gender characteristics of persons with disabilities and their families; and
    5. Meaningful opportunities to contribute their perspectives will help provide adequate information in a manner that facilitates and allows for participation by persons with disabilities and their families.

History. Enact. Acts 1996, ch. 336, § 2, effective July 15, 1996.

12.460. Persons with disabilities or members of their families to be included in membership of boards and committees affecting them — Prohibition against discrimination.

To ensure opportunities for participation by persons with disabilities and their families in the development of policies, support, and services that affect them:

  1. Persons with one (1) or more disabilities, or members of their families, who receive the services and support of an advisory board, committee, commission, task force, or ad hoc committee of any executive cabinet or any of its subdivisions shall be included in the membership of each of these advisory boards, committees, commissions, task forces, or ad hoc committees.
  2. Persons with one (1) or more disabilities, or members of their families, shall be included in the membership of local community-based agency governing boards that receive funds directly or indirectly from any executive cabinet or any of its subdivisions to provide services and support to persons with disabilities and their families.
  3. Persons with one (1) or more disabilities, or members of their families, shall be included in the membership of any advisory committee, board, or commission funded or administered by any executive cabinet or any of its subdivisions whose purpose is to establish criteria for services and support for persons with disabilities, or to develop standards that govern these services and support.
  4. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity for membership on any other advisory board, committee, commission, task force, or ad hoc committee consistent with and to the extent required by the Federal Americans with Disabilities Act;
  5. The requirements of this section and KRS 12.465 shall only apply to an advisory board, committee, commission, task force, or ad hoc committee that is created specifically to develop or oversee policies or programs related to persons living with a disability or their families, except that the provisions of subsection (4) of this section shall apply.

History. Enact. Acts 1996, ch. 336, § 3, effective July 15, 1996; 2001, ch. 164, § 13, effective June 21, 2001.

Compiler’s Notes.

The Federal Americans with Disabilities Act referred to in subsection (4), may be found as 42 USCS § 12101 et seq.

12.461. Employment in state agency decision-making positions and participation in programs consistent with the Federal Americans with Disabilities Act — Disability awareness program.

To ensure that Kentuckians with disabilities and their families enjoy full partnership in all programs, services, and activities throughout the Commonwealth:

  1. Consistent with this subsection, consideration shall be given to persons with one (1) or more disabilities for employment in decision-making positions in every program, cabinet, department, and agency of state government. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity to be employed in decision-making positions in every program, cabinet, department, and agency of state government consistent with and to the extent required by the Federal Americans with Disabilities Act;
  2. Individuals with disabilities shall be given equal opportunity to participate in the programs, services, and activities of state government consistent with and to the extent required by the Federal Americans with Disabilities Act;
  3. If not already a part of staff development training for state government, a program shall be developed within the Personnel Cabinet containing a disability awareness component;
  4. Consistent with this subsection, consideration shall be given to persons with one (1) or more disabilities for employment in decision-making positions in any community-based agency that receives funds from any executive cabinet or any of its subdivisions. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity to be employed in decision-making positions in any community-based agency that receives funds from any executive cabinet or any of its subdivisions consistent with and to the extent required by the Federal Americans with Disabilities Act;
  5. If program evaluation criteria is utilized by any community-based agency that receives funds from any executive cabinet or any of its subdivisions for its programs, services, and activities, the criteria may include in the measures of performance, the number of individuals served by the program, service, or activity;
  6. Individuals with disabilities shall be given equal opportunity to participate in the programs, services, and activities of community-based agencies that receive funds from any executive cabinet or any of its subdivisions consistent with and to the extent required by the Federal Americans with Disabilities Act;
  7. If a community-based agency that receives funds from any executive cabinet or any of its subdivisions engages in staff development and training, that community-based agency shall include a program with a disability awareness component;
  8. If a community-based agency that receives funds from any executive cabinet or any of its subdivisions utilizes program evaluation criteria, those criteria may include in any measures of performance, the number of individuals served by the program, service, or activity.

History. Enact. Acts 2001, ch. 164, § 12, effective June 21, 2001.

Compiler’s Notes.

The Federal Americans with Disabilities Act referred to in subsection (4), may be found as 42 USCS § 12101 et seq.

12.465. Board and committee positions affected.

  1. The requirements of KRS 12.450 to 12.465 shall affect all boards, committees, commissions, task forces, or ad hoc committees created on or after June 21, 2001.
  2. For boards, committees, commissions, task forces, or ad hoc committees in existence prior to June 21, 2001, any vacancy arising on or after June 21, 2001, shall be filled pursuant to KRS 12.460 .

History. Enact. Acts 1996, ch. 336, § 4, effective July 15, 1996; 2001, ch. 164, § 14, effective June 21, 2001.

Faith-Based Initiatives

12.500. Definitions for KRS 12.500 to 12.520.

As used in KRS 12.500 to 12.520 , unless the context otherwise requires:

  1. “Government funding” means financial assistance received by nongovernment entities in the form of federal, state, or local government grants, loans, loan guarantees, property, cooperative agreements, food commodities, direct appropriations, or other assistance. “Government funding” does not include tax credits, deductions, or exemptions.
  2. “Social service program” means a program administered by the federal, state, or local government using government funding to provide social services directed at reducing poverty, improving opportunities for low-income adults or children, self-sufficiency, rehabilitation, or other services directed toward vulnerable citizens. “Social service program” includes but is not limited to:
    1. Adult or child day care;
    2. Adult or child protective services, foster care, or adoption, including programs relating to domestic violence;
    3. Services for adults or children with special needs or disabilities;
    4. Job training and related services, and employment services;
    5. Transportation services;
    6. Food or meal preparation or delivery services relating to soup kitchens or food banks;
    7. Substance use disorder prevention and treatment;
    8. Health support services;
    9. Literacy and educational services, including adult education services;
    10. Crime prevention services and assistance to the victims and family members of criminal offenders; and
    11. Services for housing assistance as provided under local, state, and federal law.

History. Enact. Acts 2005, ch. 137, § 1, effective March 18, 2005; 2019 ch. 128, § 1, effective June 27, 2019.

12.505. Legislative findings for KRS 12.500 to 12.520.

The General Assembly finds and declares that:

  1. Faith-based and community nonprofit organizations are indispensable in meeting the needs of our poor and disadvantaged citizens, and by embracing and partnering with these organizations, the capacity of government to respond to its citizens is strengthened;
  2. Faith-based and community nonprofit organizations should have full opportunity to participate in federal and state government funding for services directed at reducing poverty, improving the lives of low-income and vulnerable adults and children, self-sufficiency, and rehabilitation;
  3. It is necessary to ensure that:
    1. The rights and protections granted by the United States Constitution, the Constitution of Kentucky, and all amendments thereto are respected and preserved by all entities that receive government funding;
    2. Faith-based and community nonprofit organizations have equal opportunity to seek government funding for social service programs and that these social service programs remain separate from other inherently religious activities, including but not limited to worship, religious instruction, and proselytization;
    3. Faith-based and community nonprofit organizations do not discriminate against beneficiaries or potential beneficiaries of government-funded social service programs on any basis prohibited by law, including but not limited to discrimination based on religion, religious practices, or beliefs; and
    4. Faith-based and community nonprofit organizations have the capacity to effectively and efficiently manage government funds for social service programs, to perform program and service evaluations, and to report outcomes similar to any entity that receives government funding; and
  4. Communication, coordination, and technical assistance at the highest level of state government is needed to enhance the opportunities for faith-based and community nonprofit organizations to provide needed social services to our citizens.

History. Enact. Acts 2005, ch. 137, § 2, effective March 18, 2005.

12.510. Office for Faith-Based and Community Nonprofit Social Services established — Mission — Principles — Duties.

  1. The Office for Faith-Based and Community Nonprofit Social Services is established in the Office of the Governor. The office shall be administered by a staff person designated by the Governor and shall have sufficient staff as required to implement the provisions of KRS 12.500 to 12.520 .
  2. The office shall have primary responsibility to establish policies, priorities, and practices in the executive branch to enable and expand social service programs of faith-based and community nonprofit organizations to the extent permitted by law.
  3. The office and all state government agencies that administer social service programs supported by government funding shall adhere to the following principles:
    1. Government funding for social service programs shall be distributed in the most effective and efficient manner possible;
    2. No organization shall be discriminated against on the basis of religion, religious practices, or beliefs in the administration or distribution of government funding for social service programs;
    3. No faith-based or community nonprofit organization providing social service programs in whole or in part with government funding shall discriminate against beneficiaries or potential beneficiaries on the basis of religion, religious practices, beliefs, or refusal to hold a religious belief or to participate in a religious practice, or as otherwise provided by law;
    4. All programs involving government funding to faith-based and nonprofit community organizations for social service programs shall be implemented in accordance with the United States Constitution, the Constitution of Kentucky, and all amendments thereto. Organizations that engage in religious worship, religious instruction, and proselytization that receive government funding for social service programs shall offer those social service programs separately in time and location, and participation in such religious activities by any beneficiary or potential beneficiary of a government-funded social service program shall be strictly voluntary;
    5. Faith-based and nonprofit community organizations that receive government funding may retain their autonomy, expression, or religious character and may continue practicing or expressing religious beliefs. Organizations may use existing facilities, in accordance with paragraph (d) of this subsection, without removing or altering religious icons, art, scripture, or symbols and may retain religious terms in its name and other documents governing the organization. Government funding shall not be used to support inherently religious activities, including but not limited to worship, religious instruction, and proselytizing; and
    6. Faith-based and nonprofit community organizations that receive government funding for social service programs shall comply with the same requirements as any other entity that receives government funding for social service programs is subject to, including but not limited to timely progress and final reports, audits, inspection of premises, recordkeeping and accounting practices, program evaluation, and outcome studies.
  4. The office shall:
    1. Develop and implement policies affecting faith-based and community nonprofit organizations to increase the capacity of those organizations to provide social services through executive action, legislative proposals, administrative regulations, and government and private funding;
    2. Review and coordinate policies affecting the opportunities for government funding for social service programs by faith-based and other community nonprofit organizations throughout all related agencies of state government;
    3. Implement and coordinate public education activities to increase faith-based and community nonprofit social service program initiatives through volunteerism, special projects, pilot or demonstration projects, and public-private partnerships;
    4. Encourage private charitable giving to support faith-based and community nonprofit organizations and social service programs;
    5. Provide information and legal education to state and local public officials and policymakers to improve opportunities for government funding for social service programs by faith-based and community nonprofit organizations;
    6. Provide education, training, and technical assistance to increase the capacity and expertise of faith-based and community nonprofit organizations to effectively manage government-funded social service programs; and
    7. Provide training and technical assistance to enable faith-based and community nonprofit organizations to conduct program evaluation and outcome studies on social services provided with government funding.

History. Enact. Acts 2005, ch. 137, § 3, effective June 20, 2005.

12.515. Agency liaisons — Duties.

  1. The following agencies shall designate a liaison to the Office for Faith-Based and Community Nonprofit Social Services:
    1. The Cabinet for Health and Family Services;
    2. The Department of Workforce Development;
    3. The Department of Agriculture;
    4. The Kentucky Housing Corporation;
    5. The Education and Labor Cabinet; and
    6. The Economic Development Cabinet.
  2. Each agency identified in subsection (1) of this section shall, in cooperation and coordination with the Office for Faith-Based and Community Nonprofit Social Services:
    1. Review and evaluate existing policies that affect government funding opportunities for faith-based and nonprofit community organizations and report to the office, within ninety (90) days of June 20, 2005, actions necessary to implement KRS 12.510 ; and
    2. Amend existing policies and administrative regulations or implement new policies or administrative regulations in accordance with KRS Chapter 13A consistent with the principles established in KRS 12.500 to 12.520 .

History. Enact. Acts 2005, ch. 137, § 4, effective June 20, 2005; 2006, ch. 211, § 7, effective July 12, 2006; 2009, ch. 11, § 4, effective June 25, 2009; 2010, ch. 24, § 11, effective July 15, 2010; 2022 ch. 236, § 9, effective July 1, 2022.

12.520. Construction of KRS 12.500 to 12.520.

  1. Nothing in KRS 12.500 to 12.520 shall be construed to be contrary to state or federal law concerning government funding for faith-based or nonprofit community organizations.
  2. Nothing in KRS 12.500 to 12.520 shall be construed to establish a preference for faith-based or nonprofit organizations in soliciting, evaluating proposals for, or awarding of government contracts, grants, loans, or other funds.

History. Enact. Acts 2005, ch. 137, § 5, effective June 20, 2005.

Wellness and Physical Activity

12.550. Governor’s Council on Wellness and Physical Activity — Membership — Powers and duties — Reports.

  1. The Governor’s Council on Wellness and Physical Activity is hereby established and authorized to operate the Governor’s Wellness and Physical Activity Program, Inc. for the purpose of establishing and implementing a health, wellness, and fitness program for Kentucky and to promote a healthy lifestyle for all citizens of the Commonwealth. The Governor’s Council on Wellness and Physical Activity shall be attached to the Department for Public Health for administrative purposes.
    1. The ex officio members of the Governor’s Council on Wellness and Physical Activity shall be as follows:
      1. The Governor or the Governor’s designee from the executive cabinet;
      2. The secretary of the Cabinet for Health and Family Services or designee;
      3. The secretary of the Personnel Cabinet or designee;
      4. The secretary of the Education and Labor Cabinet;
      5. The Senate co-chair of the Interim Joint Committee on Health and Welfare of the General Assembly; and
      6. The House co-chair of the Interim Joint Committee on Health and Welfare of the General Assembly.
    2. In addition to the ex officio members, the Governor shall appoint five (5) council members to serve three (3) year terms on the Governor’s Council on Wellness and Physical Activity. Members appointed by the Governor may be reappointed by the Governor to serve successive terms. In making appointments, the Governor shall attempt to include individuals from different geographic regions of the Commonwealth of Kentucky. The Governor shall make appointments to fill vacancies as they occur. Each appointment after the initial appointment shall be for a three (3) year term unless the appointment is to fill the unexpired portion of a term.
    3. The Governor or, if so designated by the Governor, the chairman of the council shall have the authority to hire, fire, and manage all personnel of the Governor’s Wellness and Physical Activity Program, Inc., including the executive director.
    4. The council shall administer funds appropriated or gifts, donations, or funds received from any source. The council may expend funds in its discretion to carry out the intent of KRS 12.020 , 12.023 , and 12.550 .
    5. The council shall closely coordinate with the Department for Public Health to establish policies and procedures.
    6. The council shall select from its membership a chairman and any other officers it considers essential. The council may have committees and subcommittees as determined by the council.
    7. The council shall make recommendations to the Governor and secretary of the Cabinet for Health and Family Services.
    8. The council shall meet quarterly or more often as necessary for the conduct of its business. A majority of the members shall constitute a quorum for the transaction of business. Members’ designees shall have voting privileges at committee meetings.
    9. Members of the council shall serve without compensation but shall be reimbursed for their necessary travel expenses actually incurred in the discharge of their duties on the council, subject to Finance and Administration Cabinet administrative regulations.
    10. The council may establish working groups as necessary.
    11. The council shall establish the Governor’s Wellness and Physical Activity Program, Inc. pursuant to the requirements in KRS 12.020 , 12.023 , and 12.550 .
  2. Funds appropriated for purposes of the program shall not lapse at the end of the fiscal year.
    1. The Governor’s Wellness and Physical Activity Program, Inc. shall follow standard accounting practices and shall submit the following financial reports to the Office of the Governor, the Finance and Administration Cabinet, and the Legislative Research Commission:
      1. Quarterly reports of expenditures of state funds, submitted on or before the thirtieth day after the end of each quarter in the corporation’s fiscal year;
      2. Annual reports of receipts and expenditures for the Governor’s Wellness and Physical Activity Program, Inc., submitted on or before the sixtieth day after the end of the fiscal year of the corporation; and
      3. The report of an annual financial audit conducted by an independent auditor, submitted on or before September 1 of each year.
    2. The Governor’s Wellness and Physical Activity Program, Inc. shall file quarterly reports with the Office of the Governor and the Legislative Research Commission. The report shall include a detail of the operations of the program for the preceding year. The report shall include information concerning the participant demographics, number of incentives distributed, and program outcomes according to such measures of success as the board may adopt.

History. Enact. Acts 2006, ch. 172, § 1, effective July 12, 2006; 2009, ch. 11, § 5, effective June 25, 2009; 2012, ch. 158, § 2, effective July 12, 2012; 2022 ch. 236, § 10, effective July 1, 2022.

CHAPTER 13 Administrative Regulations [Repealed]

13.010. Definitions and construction. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 1) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.020. Regulations of state agencies must be filed to be effective. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 2) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.030. Codification Board created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 3) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.040. Functions of Codification Board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 4) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.050. Effect to be given publication and filing of regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 5) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.060. Judicial notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 6) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.070. Existing regulations not effective unless filed. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 7) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.075. Definition of commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 97, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.080. Definitions and construction. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 1; 1972, ch. 180, § 1; 1974, ch. 73, § 1; 1976, ch. 298, § 1; 1978, ch. 323, § 1; 1982, ch. 294, § 1; 1982, ch. 459, § 2) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.081. Administrative bodies may adopt regulations — Effect — Limitation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 97, § 2, para. 1; 1972, ch. 180, § 2) was repealed by Acts 1974, ch. 73, § 7, effective July 1, 1974.

13.082. Uniformity of power to adopt regulations — Repeal of conflicting provisions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 73, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.083. Definition of “tiering” — Methods of tiering. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 116, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.084. Refiling of regulations — Rescinding of regulations not refiled. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 73, § 6) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.085. Publication, hearing and review of proposed administrative regulation — Emergency regulation — Requisites of proposal — Public hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 2; 1972, ch. 180, § 3; 1974, ch. 73, § 2; 1982, ch. 294, § 2; 1982, ch. 459, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.086. Agencies to submit regulatory impact analyses — Contents — Review by legislative research commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 294, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.087. Administrative regulation review subcommittee — Submission of regulations — Procedure upon objection to regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 180, § 4; 1974, ch. 73, § 3; 1976, ch. 298, § 2; 1980, ch. 95, § 2; 1982, ch. 459, § 4) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.088. Emergency regulation — Procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 459, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.090. Functions of legislative research commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 3; 1972, ch. 180, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.092. No regulation to be effective until accepted by legislative research commission — Exception — Effect of holding this provision unconstitutional. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 459, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.095. Publication and distribution of regulations; revolving fund created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 4) was repealed by Acts 1956, ch. 97.

13.096. Kentucky administrative regulations service — Administrative register. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 6, § 1; 1972, ch. 180, § 6; 1974, ch. 73, § 4) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.097. Regulations compiler — Certificate — Filing of publication with secretary of state. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 6, § 2; 1974, ch. 370, § 2) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.100. Effect of commission’s file stamp on regulation or publication of regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 5; 1956 (1st Ex. Sess.), ch. 6, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.102. Administrative publication of informational copies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 47, § 1; repealed and reen. Acts 1966, ch. 255, § 5; 1972, ch. 180, § 7; 1980, ch. 95, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.105. Judicial notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 6; 1972, ch. 180, § 8) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.110. Transfer and filing of regulations filed with Secretary of State. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 7) was repealed by Acts 1954, ch. 49, § 3.

13.115. File of ineffective regulations to be kept. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 8) was repealed by Acts 1982, ch. 459, § 6, effective April 15, 1982 and by Acts 1984, ch. 417, § 36, effective July 13, 1984.

13.120. Statute Revision Commission to draft uniform administrative practice and procedure act. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 9) was repealed by Acts 1954, ch. 49, § 3.

13.125. Notice and hearings on proposed regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 10, effective June 19, 1952) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984. For present law see KRS Chapter 13A.

13.130. Employes of Statute Revision Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 11) was repealed by Acts 1954, ch. 49, § 3.

13.135. Appropriation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 12) was repealed by Acts 1954, ch. 49, § 3.

13.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 9) was repealed by Acts 1952, ch. 63, § 13.

CHAPTER 13A Administrative Regulations

13A.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Administrative body” means each state board, bureau, cabinet, commission, department, authority, officer, or other entity, except the General Assembly and the Court of Justice, authorized by law to promulgate administrative regulations;
  2. “Administrative regulation” means each statement of general applicability promulgated by an administrative body that implements, interprets, or prescribes law or policy, or describes the organization, procedure, or practice requirements of any administrative body. The term includes an existing administrative regulation, a new administrative regulation, an emergency administrative regulation, an administrative regulation in contemplation of a statute, and the amendment or repeal of an existing administrative regulation, but does not include:
    1. Statements concerning only the internal management of an administrative body and not affecting private rights or procedures available to the public;
    2. Declaratory rulings;
    3. Intradepartmental memoranda not in conflict with KRS 13A.130 ;
    4. Statements relating to acquisition of property for highway purposes and statements relating to the construction or maintenance of highways; or
    5. Rules, regulations, and policies of the governing boards of institutions that make up the postsecondary education system defined in KRS 164.001 pertaining to students attending or applicants to the institutions, to faculty and staff of the respective institutions, or to the control and maintenance of land and buildings occupied by the respective institutions;
  3. “Adopted” means that an administrative regulation has become effective in accordance with the provisions of this chapter;
  4. “Authorizing signature” means the signature of the head of the administrative body authorized by statute to promulgate administrative regulations;
  5. “Commission” means the Legislative Research Commission;
  6. “Effective” means an administrative regulation that has completed the legislative committee review established by KRS 13A.290 , 13A.330 , and 13A.331 ;
  7. “Federal mandate” means any federal constitutional, legislative, or executive law or order that requires or permits any administrative body to engage in regulatory activities that impose compliance standards, reporting requirements, recordkeeping, or similar responsibilities upon entities in the Commonwealth;
  8. “Federal mandate comparison” means a written statement containing the information required by KRS 13A.245 ;
  9. “Filed” or “promulgated” means that an administrative regulation, or other document required to be filed by this chapter, has been submitted to the Commission in accordance with this chapter;
  10. “Last effective date” means the latter of:
    1. The most recent date an ordinary administrative regulation became effective, without including the date a technical amendment was made pursuant to KRS 13A.040(10), 13A.2255(2), or 13A.312 ; or
    2. The date a certification letter was filed with the regulations compiler for that administrative regulation pursuant to KRS 13A.3104(4), if the letter stated that the administrative regulation shall remain in effect without amendment;
  11. “Legislative committee” means an interim joint committee, a House or Senate standing committee, a statutory committee, or a subcommittee of the Legislative Research Commission;
  12. “Local government” means and includes a city, county, urban-county, charter county, consolidated local government, special district, or a quasi-governmental body authorized by the Kentucky Revised Statutes or a local ordinance;
  13. “Major economic impact” means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies;
  14. “Proposed administrative regulation” means an administrative regulation that:
    1. Has been filed by an administrative body; and
    2. Has not become effective or been withdrawn;
  15. “Regulatory impact analysis” means a written statement containing the provisions required by KRS 13A.240 ;
  16. “Small business” means a business entity, including its affiliates, that:
    1. Is independently owned and operated; and
      1. Employs fewer than one hundred fifty (150) full-time employees or their equivalent; or
      2. Has gross annual sales of less than six million dollars ($6,000,000);
  17. “Statement of consideration” means the document required by KRS 13A.280 in which the administrative body summarizes the comments received, its responses to those comments, and the action taken, if any, as a result of those comments and responses;
  18. “Subcommittee” means the Administrative Regulation Review Subcommittee of the Legislative Research Commission;
  19. “Tiering” means the tailoring of regulatory requirements to fit the particular circumstances surrounding regulated entities; and
  20. “Written comments” means comments submitted to the administrative body’s contact person identified pursuant to KRS 13A.220(6)(d) via hand delivery, United States mail, e-mail, or facsimile and may include but is not limited to comments submitted internally from within the promulgating administrative body or from another administrative body.

History. Enact. Acts 1984, ch. 417, § 1, effective April 13, 1984; 1986, ch. 89, § 5, effective July 15, 1986; 1990, ch. 516, § 13, effective July 13, 1990; 1994, ch. 410, § 1, effective July 15, 1994; 1996, ch. 180, § 1, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 30, effective May 30, 1997; 1998, ch. 38, § 9, effective July 15, 1998; 2000, ch. 288, § 2, effective July 14, 2000; 2000, ch. 406, § 2, effective July 14, 2000; 2004, ch. 165, § 2, effective July 13, 2004; 2005, ch. 100, § 1, effective June 20, 2005; 2012, ch. 138, § 1, effective July 12, 2012; 2016 ch. 82, § 1, effective July 15, 2016; 2021 ch. 7, § 1, effective February 2, 2021; 2022 ch. 207, § 1, effective April 14, 2022.

Legislative Research Commission Notes.

(4/14/2022). This statute was amended by 2022 Ky. Acts ch. 207, sec. 1. Under Section 5 of that Act, the Act shall be known and may be cited as the Kentucky REINS Act, or the Kentucky Regulations from the Executive in Need of Scrutiny Act.

NOTES TO DECISIONS

1.Lethal Injection.

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ), writ denied, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

Research References and Practice Aids

Cross-References.

Agriculture, Department of, appeal from order revoking or suspending license of frozen food locker plant, KRS 221.040 .

Airport zoning regulations, enforcement of, KRS 183.873 .

Alcoholic beverage administrator, city or county, appeal from to state board, KRS 241.150 , 241.200 .

Alcoholic Beverage Control Board:

Appeal from, KRS 243.560 , 243.590 .

Hearings on appeal to, KRS 243.550 .

Apprenticeship agreements, appeal from order of executive director of Office of Workforce Standards, KRS 343.070 .

Apprenticeship agreements, appeal from order of supervisor to commissioner of Department of Workforce Standards, KRS 343.070 .

Board of Boiler and Pressure Vessel Rules, KRS 236.020 .

Board of chiropractic examiners, appeal from KRS 312.160 .

Board of Claims for damage claims, enforcement and review of decisions of, KRS 44.130 , 44.140 .

Board of equalization, cities of fifth or sixth class, appeal from, KRS 92.530 .

Board of equalization, cities of first class, appeal from, KRS 91.400 .

Board of equalization, cities of second class, appeal from, KRS 92.440 .

Board of tax supervisors, cities of third class, appeal from, to city council and to courts, KRS 92.480 .

Consumer loan companies, denial or revocation of license, appeal from executive director of financial institutions, KRS 286.4-500 .

County board of elections, appeals from, KRS 116.135 .

Drivers’ licenses, denial, suspension or revocation of by Transportation Cabinet, appeal from, KRS 186.580 .

Embalmers and Funeral Directors, state Board of, appeal from KRS 316.155 .

Engineers, professional, state board of registration for, hearing procedure, KRS 322.190 .

Escheated property, appeal by claimant from decision of commissioner of revenue, KRS 393.160 .

Extension, director of, KRS 164.625 .

Finance and Administration Cabinet, enforcement of orders, KRS 45.142 .

Gasoline dealer’s license, appeal from revocation by Kentucky Board of Tax Appeals, KRS 138.340 .

Grade crossings, overhead and underpass structures, appeal by railroad from order of Department of Highways concerning, KRS 177.190 , 177.200 .

Hairdressers and cosmetologists, Kentucky board of, appeal from, KRS 317A.070 .

Health, board of for Louisville and Jefferson County, enforcement of orders of, KRS 212.600 .

Insurance, department of, appeals from executive director’s orders or actions, KRS 304.2-370 .

Insurance rates of surety or casualty companies, hearings upon disapproval of filings, KRS 304.13-071 .

Judicial review of board of tax appeals, KRS 131.370 .

Labor, secretary of, enforcement of subpoenas issued by, KRS 336.060 .

Labor, commissioner of, rule as to wages, appeal from, KRS 337.310 .

Librarians, state board for certification of, appeal from, KRS 171.300 .

Livestock sanitary division, appeal from order denying or revoking permit for hatchery or dealer in chicks or eggs, KRS 257.440 .

Medicine, revocation of license to practice, appeal from order of state board of health, KRS 311.595 .

Mine, closed by department of natural resources, petition to reopen, KRS 352.430 .

Motorists’ financial responsibility law, court review of orders under, KRS 187.300 .

Interstate water sanitation control commissions, enforcement of orders, KRS 224.18-715 .

Oil wells, appeal from department of natural resources, KRS 351.040 .

Podiatrist’s license, appeal, KRS 311.490 .

Police and firefighter’s, cities of fourth and fifth class, dismissal or suspension, appeal from city legislative body, KRS 95.766 .

Police and firefighter’s, cities of second and third class, dismissal or suspension, appeal from city legislative body, KRS 95.460 .

Police and firefighter’s pension fund, trustees of cities of third class, regulations not subject to review, KRS 95.540 .

Psychologists, board of examiners of, appeal from revocation or suspension of license by, KRS 319.092 .

Public assistance, appeal to appeal board from decision of hearing officer delay in action on or amount of assistance, KRS 205.231 .

Public Service Commission:

Appeal from, KRS 278.410 to 278.450 .

Enforcement of, KRS 278.390 .

Real estate commission, state, appeal from, KRS 324.200 .

Revenue, department of, equalization of assessments by, appeal from, KRS 133.150 to 133.170 .

Revenue, department of, rulings and findings:

Appeal from to Kentucky board of tax appeals, KRS 131.110 .

Enforcement of, KRS 131.990 .

Revenue, department of, valuation of omitted property by, appeal from, KRS 132.320 .

Road and bridge contracts, eligibility to bid upon, appeal from Department of Highways, KRS 176.170 .

Securities, division of, appeal from, KRS 292.490 .

Soil conservation board of adjustment, appeal from orders of, KRS 262.520 .

Soil conservation district board of supervisors, enforcement of land use regulations, KRS 262.430 , 262.440 , 262.450 .

State Board of Accountancy, appeal from, KRS 325.360 ; enforcement of orders of, KRS 325.400 .

Toll bridges and ferries, intrastate; appeal from order of Department of Highways, KRS 280.110 .

Unemployment Insurance Commission:

Appeal from, KRS 341.450 , 341.460 .

Appeal to from referee, KRS 341.200 .

Enforcement of orders, KRS 341.200 .

Veterinary examiners, state board of, appeal from, KRS 321.360 .

Workers’ Compensation Board:

Appeal from, KRS 342.281 to 342.300 .

Enforcement of orders, KRS 342.305 .

Zoning:

Appeal from board of adjustment, KRS 100.347 .

Appeal to board of adjustment, KRS 100.261 .

Board of adjustment, KRS 100.217 .

Comprehensive plan, KRS 100.183 , 100.187 , 100.191 to 100.197 .

Planning commissions, KRS 100.133 , 100.137 .

Objectives, KRS 100.193 .

Planning units, KRS 100.113 to 100.123 .

Regulations, KRS 100.203 , 100.207 .

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13A.012. Inclusion of osteopaths within references to physicians in administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 413, § 2, effective July 14, 2000) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.015. Notice of intent to promulgate an administrative regulation — Public hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 3, effective July 15, 1994; 1996, ch. 180, § 2, effective July 15, 1996; 1998, ch. 38, § 1, effective July 15, 1998; 2000, ch. 288, § 1, effective July 14, 2000; 2000, ch. 406, § 23, effective July 14, 2000) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.016. KRS 13A.015 inapplicable to administrative regulation promulgated only for drafting or format requirements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 2, effective July 15, 1994) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.017. Consideration of comments from public hearing — Post-hearing filings or notification. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 4, effective July 15, 1994; 1996, ch. 180, § 3, effective July 15, 1996; 1998, ch. 38, § 2, effective July 15, 1998; 2000, ch. 406, § 3, effective July 14, 2000) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.020. Administrative Regulation Review Subcommittee — Membership — Meetings — Vote required to act.

  1. There is hereby created a permanent subcommittee of the Legislative Research Commission to be known as the Administrative Regulation Review Subcommittee. The subcommittee shall be composed of eight (8) members appointed as follows: three (3) members of the Senate appointed by the President; one (1) member of the minority party in the Senate appointed by the Minority Floor Leader in the Senate; three (3) members of the House of Representatives appointed by the Speaker of the House of Representatives; and one (1) member of the minority party in the House of Representatives appointed by the Minority Floor Leader in the House of Representatives. The members of the subcommittee shall serve for terms of two (2) years, and the members appointed from each chamber shall elect one (1) member from their chamber to serve as co-chair. Any vacancy that may occur in the membership of the subcommittee shall be filled by the same appointing authority who made the original appointment.
  2. On an alternating basis, each co-chair shall have the first option to set the monthly meeting date. A monthly meeting may be rescheduled by agreement of both co-chairs. The co-chairs shall have joint responsibilities for subcommittee meeting agendas and presiding at subcommittee meetings. The members of the subcommittee shall be compensated for attending meetings, as provided in KRS 7.090(3).
  3. Any professional, clerical, or other employees required by the subcommittee shall be provided in accordance with the provisions of KRS 7.090(4) and (5).
  4. A majority of the entire membership of the Administrative Regulation Review Subcommittee shall constitute a quorum, and all actions of the subcommittee shall be by vote of a majority of its entire membership.

History. Enact. Acts 1984, ch. 417, § 2, effective April 13, 1984; 2003, ch. 185, § 3, effective March 31, 2003; 2016 ch. 82, § 2, effective July 15, 2016.

13A.030. Duties of subcommittee.

  1. The Administrative Regulation Review Subcommittee shall:
    1. Conduct a continuous study as to whether additional legislation or changes in legislation are needed based on various factors, including, but not limited to, review of new, emergency, and existing administrative regulations, the lack of administrative regulations, and the needs of administrative bodies;
    2. Except as provided by KRS 158.6471 and 158.6472 , review and comment upon effective administrative regulations pursuant to subsections (2), (3), and (4) of this section or administrative regulations filed with the Commission;
    3. Make recommendations for changes in statutes, new statutes, repeal of statutes affecting administrative regulations or the ability of administrative bodies to promulgate them; and
    4. Conduct such other studies relating to administrative regulations as may be assigned by the Commission.
  2. The subcommittee may make a determination:
    1. That an effective administrative regulation or an administrative regulation filed with the Commission is deficient because it:
      1. Is wrongfully promulgated;
      2. Appears to be in conflict with an existing statute;
      3. Appears to have no statutory authority for its promulgation;
      4. Appears to impose stricter or more burdensome state requirements than required by the federal mandate, without reasonable justification;
      5. Fails to use tiering when tiering is applicable;
      6. Is in excess of the administrative body’s authority;
      7. Appears to impose an unreasonable burden on government or small business, or both;
      8. Is filed as an emergency administrative regulation without adequate justification of the emergency nature of the situation as described in KRS 13A.190(1);
      9. Has not been noticed in conformance with the requirements of KRS 13A.270(3);
      10. Does not provide an adequate cost analysis pursuant to KRS 13A.250 ; or
      11. Appears to be deficient in any other manner;
    2. That an administrative regulation is needed to implement an existing statute; or
    3. That an administrative regulation should be amended or repealed.
  3. The subcommittee may review an effective administrative regulation if requested by a member of the subcommittee.
  4. The subcommittee may require any administrative body to submit data and information as required by the subcommittee in the performance of its duties under this chapter, and no administrative body shall fail to provide the information or data required.

History. Enact. Acts 1984, ch. 417, § 3, effective April 13, 1984; 1986, ch. 89, § 6, effective July 15, 1986; 1994, ch. 410, § 5, effective July 15, 1994; 1998, ch. 598, § 7, effective April 14, 1998; 2000, ch. 406, § 4, effective July 14, 2000; 2004, ch. 165, § 3, effective July 13, 2004; 2021 ch. 7, § 2, effective February 2, 2021; 2022 ch. 207, § 4, effective April 14, 2022.

Legislative Research Commission Notes.

(4/14/2022). This statute was amended by 2022 Ky. Acts ch. 207, sec. 4. Under Section 5 of that Act, the Act shall be known and may be cited as the Kentucky REINS Act, or the Kentucky Regulations from the Executive in Need of Scrutiny Act.

NOTES TO DECISIONS

Cited in:

Cameron v. Beshear, 628 S.W.3d 61, 2021 Ky. LEXIS 240 ( Ky. 2021 ).

13A.032. Effect of finding of deficiency. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 7, effective July 15, 1988; 1990, ch. 516, § 14, effective July 13, 1990; 2000, ch. 406, § 5, effective July 14, 2000) was repealed by Acts 2003, ch. 185, § 12, effective March 31, 2003.

13A.040. Administrative regulations compiler — Duties.

The director of the Legislative Research Commission shall appoint an administrative regulations compiler who shall:

  1. Receive administrative regulations, and other documents required to be filed by the provisions of this chapter, tendered for filing;
  2. Stamp administrative regulations tendered for filing with the time and date of receipt;
  3. Provide administrative and support services to the subcommittee;
  4. Maintain a file of administrative regulations and other documents required to be filed by this chapter, for public inspection, with suitable indexes;
  5. Maintain a file of ineffective administrative regulations;
  6. Maintain a file of material incorporated by reference, including superseded or ineffective material incorporated by reference;
  7. Prepare the Kentucky Administrative Regulations Service;
  8. Upon request, certify copies of administrative regulations and other documents that have been filed with the regulations compiler;
  9. Correct errors that do not change the substance of an administrative regulation including but not limited to typographical errors, errors in format, and grammatical errors;
    1. Change the following items in an administrative regulation in response to a specific written request for a technical amendment submitted by the administrative body if the regulations compiler determines that the requested changes do not affect the substance of the administrative regulation:
      1. The administrative body’s identifying information, including address, phone number, fax number, Web site address, and e-mail address;
      2. Typographical errors, errors in format, and grammatical errors;
      3. Citations to statutes or other administrative regulations if a format change within that statute or administrative regulation has changed the numbering or lettering of parts; or
      4. Other changes in accordance with KRS 13A.312 ; and
    2. Notify the administrative body within thirty (30) business days of receipt of a technical amendment letter the status of the request, including:
      1. Any requested changes that are accepted as technical amendments; and
      2. Any requested changes that are not accepted as technical amendments;
  10. Refuse to accept for filing administrative regulations, and other documents required to be filed by this chapter, that do not conform to the drafting, formatting, or filing requirements established by the provisions of KRS 13A.190(5) to (11), 13A.220 , 13A.222(1), (2), and (3), 13A.230 , and 13A.280 , and notify the administrative body in writing of the reasons for refusing to accept an administrative regulation for filing;
  11. Maintain a list of all administrative regulation numbers and the corresponding last effective date, based on the information included in the history line of each administrative regulation; and
  12. Perform other duties required by the Commission or by a legislative committee.

HISTORY: Enact. Acts 1984, ch. 417, § 4, effective April 13, 1984; 1988, ch. 425, § 4, effective July 15, 1988; 1990, ch. 516, § 15, effective July 13, 1990; 1994, ch. 410, § 6, effective July 15, 1994; 1996, ch. 180, § 4, effective July 15, 1996; 1998, ch. 38, § 3, effective July 15, 1998; 2005, ch. 100, § 2, effective June 20, 2005; 2012, ch. 138, § 2, effective July 12, 2012; 2016 ch. 82, § 3, effective July 15, 2016; 2017 ch. 77, § 2, effective June 29, 2017; 2017 ch. 77, § 2, effective June 29, 2017; 2019 ch. 192, § 3, effective June 27, 2019; 2021 ch. 7, § 3, effective February 2, 2021; 2021 ch. 125, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 7 and 125, which do not appear to be in conflict and have been codified together.

13A.050. Kentucky Administrative Regulations Service — “Administrative Register of Kentucky” — Publication dates — Certificate of compiler — Fees.

  1. The Legislative Research Commission shall compile, publish, and distribute the administrative regulations filed by administrative bodies. This compilation shall be known as the Kentucky Administrative Regulations Service. The Legislative Research Commission shall maintain the official version of the administrative regulations in an electronic database that shall be made available to the public as provided by KRS 7.500 .
    1. There is hereby created a publication known as “Administrative Register of Kentucky” or “Administrative Register” to be published on a monthly basis by the Legislative Research Commission for the purpose of giving notice of administrative regulations filed in accordance with this chapter.
    2. Every administrative regulation forwarded to the Legislative Research Commission shall have its complete text published in the Administrative Register along with the accompanying statements required by KRS 13A.190 , 13A.210 , 13A.2251(1), 13A.240 , 13A.245 , 13A.250 , and 13A.270 .
    3. Within five (5) workdays of the publication of an administrative regulation in the Administrative Register, an administrative body shall:
      1. Review the text and accompanying statements of the administrative regulation; and
      2. Notify the regulations compiler in writing or by e-mail of errors.
  2. The Administrative Register shall be published the first day of each month and shall include all administrative regulations received by the Legislative Research Commission by 12 noon, eastern time, on the fifteenth day of the preceding month. When the fifteenth day falls on a Saturday, Sunday, or holiday, the deadline is the workday that immediately precedes the Saturday, Sunday, or holiday.
  3. The compiler shall cause to be prepared a certificate to the effect that the text of the administrative regulations as published in this service is correct. One (1) copy of the Kentucky Administrative Regulations Service with the original certificate therein shall be provided to the Office of the Secretary of State.
  4. The Commission shall prescribe reasonable fees for subscription to the Kentucky Administrative Regulations Service and the Administrative Register. All fees paid to the Commission for these publications shall be placed in the State Treasury to the credit of a revolving trust or agency fund account, for use by the Legislative Research Commission in carrying out the provisions of this section.
  5. Copies of administrative regulations or other items required to be filed by this chapter shall be made available to any interested party upon request to the Legislative Research Commission. The Commission may prescribe reasonable fees for duplication services and all fees paid to the Commission for duplication services shall be placed in the State Treasury to the credit of a revolving trust or agency fund account, for use by the Legislative Research Commission in carrying out the provisions of this subsection.

History. Enact. Acts 1984, ch. 417, § 5, effective April 13, 1984; 1994, ch. 410, § 7, effective July 15, 1994; 1996, ch. 180, § 5, effective July 15, 1996; 2003, ch. 89, § 5, effective June 24, 2003; 2005, ch. 100, § 3, effective June 20, 2005; 2012, ch. 138, § 3, effective July 12, 2012; 2016 ch. 82, § 4, effective July 15, 2016.

13A.060. Exclusive publication by Legislative Research Commission — Copies available to members of General Assembly.

  1. No administrative body other than the Legislative Research Commission shall publish administrative regulations unless permission is granted by the Legislative Research Commission and the administrative regulations are enclosed in a booklet or binder on which the words “informational copy” are clearly stamped or printed.
  2. Copies of the Administrative Register and the Kentucky Administrative Regulations Service shall be provided to a member of the General Assembly only upon the request of the member.

History. Enact. Acts 1984, ch. 417, § 6, effective April 13, 1984.

13A.070. Administrative regulations promulgated by Commission — Assistance to administrative bodies.

  1. The Commission may promulgate administrative regulations governing the manner and form in which administrative regulations shall be prepared, to the end that all administrative regulations shall be prepared in a uniform manner.
  2. The Commission shall furnish advice and assistance to all administrative bodies in the preparation of their administrative regulations, and in revising, codifying, and editing existing or new administrative regulations.
  3. An administrative regulation promulgated by the Commission shall be signed by the President of the Senate and the Speaker of the House of Representatives.

History. Enact. Acts 1984, ch. 417, § 7, effective April 13, 1984; 2000, ch. 406, § 6, effective July 14, 2000; 2016 ch. 82, § 5, effective July 15, 2016.

13A.075. Legislative Research Commission may promulgate regulations. [Repealed]

HISTORY: Enact. Acts 1990, ch. 516, § 3, effective July 13, 1990; repealed by 2016 ch. 82, § 36, effective July 15, 2016.

13A.080. Inclusion in Administrative Register of notice of review process and procedures for public comment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 8, effective April 13, 1984; 1994, ch. 410, § 8, effective July 15, 1994; 2003, ch. 89, § 6, effective June 24, 2003) was repealed by Acts 2012, ch. 138, § 16, effective July 12, 2012.

13A.090. Rebuttable presumption of correctness of content of administrative regulations — Judicial notice.

  1. The Commission’s authenticated file stamp upon an administrative regulation or publication of an administrative regulation in the Kentucky Administrative Regulations Service or other publication shall raise a rebuttable presumption that the contents of the administrative regulation are correct.
  2. The courts shall take judicial notice of any administrative regulation duly filed under the provisions of this chapter after the administrative regulation has been adopted.

History. Enact. Acts 1984, ch. 417, § 9, effective April 13, 1984.

NOTES TO DECISIONS

1.Judicial Notice.

Where an administrative regulation of the Department of Public Safety requiring a life preserver to be furnished recited that it was promulgated pursuant to the authority of former KRS 325.320 which concerned itself with partnerships in the public accountant profession, the court would not be required, under former law providing for judicial notice, to take judicial notice of any administrative regulation not filed under the provisions of former law. (Decided under prior law) Christian Appalachian Project, Inc. v. Berry, 487 S.W.2d 951, 1972 Ky. LEXIS 102 ( Ky. 1972 ).

Parole eligibility statistics are not a proper subject for judicial notice, are not admissible mitigating evidence, and do not negate the Commonwealth’s evidence; therefore, the trial court did not err in finding that “the introduction of specific figures and numbers opens the door to evidence that the statute was not set up for.” Abbott v. Commonwealth, 822 S.W.2d 417, 1992 Ky. LEXIS 1 ( Ky. 1992 ).

13A.100. Matters which shall be prescribed by administrative regulation.

Subject to limitations in applicable statutes, any administrative body that is empowered to promulgate administrative regulations shall, by administrative regulation, prescribe, consistent with applicable statutes:

  1. Each statement of general applicability, policy, procedure, memorandum, or other form of action that implements; interprets; prescribes law or policy; describes the organization, procedure, or practice requirements of any administrative body; or affects private rights or procedures available to the public;
  2. The process for application for license, benefits available or other matters for which an application would be appropriate unless such process is prescribed by a statute;
  3. Fees, except for those exempted in paragraphs (a) to (j) of this subsection, to be charged by the administrative body if such fees are authorized by law and are not set by statute:
    1. State park room rates;
    2. Prices for food in restaurants at state facilities;
    3. Prices for goods at gift shops at state facilities;
    4. Prices for groceries and other items sold at state facilities;
    5. Prices charged for state publications;
    6. Prices charged for rides and amusement activities at state facilities;
    7. Admission fees to athletic and entertainment events at state facilities;
    8. Charges for swimming, skiing, horseback riding, and similar recreational activities at state facilities;
    9. Charges for boat and equipment rentals for recreational purposes at state facilities; and
    10. Admission fees charged for seminars and educational courses by state administrative bodies;
  4. The procedures to be utilized by the administrative body in the conduct of hearings by or for the administrative body unless such procedures are prescribed by a statute; and
  5. The disciplinary procedures within the jurisdiction of the administrative body unless such procedures are prescribed by statute.

History. Enact. Acts 1984, ch. 417, § 10, effective April 13, 1984; 1990, ch. 516, § 16, effective July 13, 1990; 2016 ch. 82, § 6, effective July 15, 2016.

Legislative Research Commission Notes.

Acts 1984, ch. 419, effective July 13, 1984, provides:

“Section 1. It is the intent of the General Assembly that the amendment of Section 10 by the Free Conference Committee report to 1984 HB 334 applies only to fees which are governmental in nature charged by state agencies and not to fees and charges which are proprietary in nature.

Section 2. This resolution may be used by a court as an aid in the construction of 1984 HB 334.”

NOTES TO DECISIONS

1.Extent of Power to Adopt Regulations.

Administrative regulations which have been duly adopted and properly filed have the full effect of law; however, the power of an agency to adopt such regulations is limited to a direct implementation of administration of the functions and duties assigned to the administrative body by statute or executive order. (Decided under prior law) Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ), writ denied, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

Kentucky Public Service Commission (Commission) was entitled to a writ of prohibition as to a trial court hearing an interlocutory appeal of the Commission’s order denying real parties in interest intervention in a rate-making case because (1) the parties had no such right, as the parties could only request intervention, (2) whether to grant intervention was solely within the Commission’s discretion, (3) ordering the Commission to grant intervention interfered with the Commission’s proceedings, exceeded the court’s jurisdiction, and did not meet the collateral order rule, (4) the rule of civil procedure on intervention did not apply, as the Commission’s regulation controlled, and (5) the court had no Declaratory Judgment Act jurisdiction, so the court’s orders were void ab initio. PSC of Ky. v. Shepherd, 2019 Ky. App. LEXIS 31 (Ky. Ct. App. Mar. 6, 2019), rev'd, 2020 Ky. Unpub. LEXIS 37 (Ky. May 28, 2020).

2.Unconstitutional Regulations.

Administrative regulation of the board of chiropractic examiners permitting chiropractors to utilize the services of persons authorized by law to perform analysis of patients by use of radiographs, blood analysis or other methods of examination is an attempt to grant authority which had previously been withheld and goes beyond the powers granted the board and the statutory definition of chiropractic, and, as such, is legislative in nature and in violation of the state Constitution. (Decided under prior law) Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

3.Changing of Statutory Requirement Prohibited.

The Alcoholic Beverage Control Board cannot by the promulgation of a rule add to or take from requirement of statute it is administering. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

4.Statutory Preemption.

Since Alcoholic Beverage Control Board cannot by promulgating a rule add to or take away from a statute it is administering, a regulation prohibiting a licensee in cities of the first and second classes to advertise brand name of a particular beverage upon signs outside of the premises was invalid as it is in conflict with former KRS 244.530 . (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

Alcoholic Beverage Control Board could not adopt regulation prohibiting certain activities on the part of brewers and beer distributors where legislature had enacted statutes prohibiting similar activities on the part of distillers, rectifiers, vintners and retail licensees but had enacted nothing regarding brewers and beer distributors concerning such activities. (Decided under prior law) Oertel Brewing Co. v. Portwood, 320 S.W.2d 317, 1959 Ky. LEXIS 234 ( Ky. 1959 ).

5.Statutory Effect.

Administrative regulations properly adopted and filed have the same effect as statutes or ordinances enacted directly by the legislative body from which the administrative agency derives its authority. (Decided under prior law) Rietze v. Williams, 458 S.W.2d 613, 1970 Ky. LEXIS 179 ( Ky. 1970 ), overruled in part, Ctr. College v. Trzop, 127 S.W.3d 562, 2003 Ky. LEXIS 263 ( Ky. 2003 ), overruled in part, Dutton v. McFarland, 199 S.W.3d 771, 2006 Ky. App. LEXIS 82 (Ky. Ct. App. 2006).

6.Reasonable Relation to Authorized Purpose.

The purpose of regulations issued under the authority of former law was limited to the implementation of the administration of the functions assigned to the agency issuing such regulations and, under former law and § 28 of the Kentucky Constitution, it was beyond the power of the Industrial Safety Board, in promulgating safety standards for the construction industry, to change the settled law of Kentucky by a regulation making the owner of premises liable to an employee of an independent contractor for injuries suffered while working on the premises and equally liable with the contractor for the enforcement of safety standards, since such regulation exceeded the permissible bounds of administrative implementation. (Decided under prior law) Courtney v. Island Creek Coal Co., 474 F.2d 468, 1973 U.S. App. LEXIS 11381 (6th Cir. Ky. 1973 ).

As a general rule administrative agencies are vested with a great deal of discretion in exercising their authority; however, rules and regulations must be reasonably adapted to carry out purpose for which they were authorized to be made. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

The Alcoholic Beverage Control Board regulation prohibiting the use of illuminated advertisement by retail liquor establishment where the illumination is an integral part of the sign was held to be invalid since the illumination of the sign bears little relation to the policing of the sale of malt beverages, for by the time member of public sees sign he has already entered the retail premises assumedly for the purpose of buying beer. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

7.Class Action Testing Validity of Regulation.

Domestic brewers who furnished dispenser with signs and licensed retail beer dispenser who displayed signs were proper parties to class action to test validity of certain regulations of the alcoholic beverages by retail licensees regarding display of signs. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

8.Invalid Regulations.

Where it was evident from the record that the sole basis for denial of caretaker benefits was section 4909 of the operation manual of the Bureau of Social Insurance and not a weighing of the need of and resources available to the claimant’s mother including resources available from the claimant, and where section 4909 was not promulgated as required by former KRS 13.085 et seq., it had no effect and therefore could not be used as an independent basis for denying benefits. (Decided under prior law) Vincent v. Conn, 593 S.W.2d 99, 1979 Ky. App. LEXIS 503 (Ky. Ct. App. 1979).

9.Rules of Board of Claims.

The Board of Claims is to prescribe its rules of administrative practice in the form of regulations, but the rules must be promulgated in accordance with law. (Decided under prior law) Department for Human Resources v. Redmon, 599 S.W.2d 474, 1980 Ky. App. LEXIS 322 (Ky. Ct. App. 1980).

10.Explanatory Regulations.

KRS 61.590(3), limiting the time allowed to change a payment option, was not vague or ambiguous; because KRS 61.590(3) was plainly written, an explanatory administrative regulation was unnecessary. A trial court’s judgment affirming a determination that a retiree was not permitted to change his retirement payment option was proper because there was no evidence that the retirement systems was negligent or that information provided to retiree was erroneous. Lawson v. Ky. Ret. Sys., 2007 Ky. App. LEXIS 200 (Ky. Ct. App. July 6, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 507 (Ky. Ct. App. July 6, 2007).

11.State of Emergency.

Ky. Rev. Stat. Ann. ch. 13A does not Limit the Governor’s authority to act Under the Constitution and Ky. Rev. Stat. Ann. ch. 39A in the event of an emergency. Beshear v. Acree, 615 S.W.3d 780, 2020 Ky. LEXIS 405 ( Ky. 2020 ).

Cited in:

GTE v. Revenue Cabinet, 889 S.W.2d 788, 1994 Ky. LEXIS 148 ( Ky. 1994 ); Lawson v. Ky. Ret. Sys., 291 S.W.3d 679, 2009 Ky. LEXIS 82 ( Ky. 2009 ).

Opinions of Attorney General.

Under KRS 61.840 , the Personnel Board is not required to permit television coverage when it is hearing an appeal under KRS 18A.095 as a quasi-judicial body, but may do so if it adopts administrative regulations so permitting and stating restrictions and procedures for such coverage, pursuant to this section. OAG 84-371 .

13A.110. Prescription of forms and tables.

Except as provided in KRS 131.131 , and subject to limitations in applicable statutes, any administrative body that is empowered to promulgate administrative regulations may, consistent with applicable statutes, prescribe forms and tables for use by the administrative body and for the public in dealing with the administrative body unless the content of such form is prescribed by a statute. Forms that are required to be submitted by a regulated entity shall be included in an administrative regulation. Forms and tables that meet the requirements of KRS 13A.2245 may be incorporated by reference.

History. Enact. Acts 1984, ch. 417, § 11, effective April 13, 1984; 1990, ch. 516, § 17, effective July 13, 1990; 2016 ch. 82, § 7, effective July 15, 2016.

13A.120. Promulgation of administrative regulations — Prohibitions concerning promulgations.

    1. An administrative body may promulgate administrative regulations to implement a statute only when the act of the General Assembly creating or amending the statute specifically authorizes the promulgation of administrative regulations or administrative regulations are required by federal law, in which case administrative regulations shall be no more stringent than the federal law or regulations.
    2. An administrative body that promulgates an administrative regulation required by federal law or federal regulation shall comply with the provisions of this chapter.
  1. An administrative body shall not promulgate administrative regulations:
    1. When a statute prohibits the administrative body from promulgating administrative regulations;
    2. When the administrative body is not authorized by statute to promulgate administrative regulations;
    3. When a statute prohibits the administrative body from regulation of that particular matter;
    4. When the administrative body is not authorized by statute to regulate that particular matter;
    5. When a statute prescribes the same or similar procedure for the matter regulated;
    6. When a statute sets forth a comprehensive scheme of regulation of the particular matter;
    7. On any matter that is not clearly within the jurisdiction of the administrative body;
    8. On any matter that is beyond the statutory authorization of the administrative body to promulgate administrative regulations or that is not clearly authorized by statute; and
    9. That modify or vitiate a statute or its intent.
  2. If a statute requires an administrative body or official to submit an administrative regulation to an official or administrative body for review or approval prior to filing the administrative regulation with the commission, the administrative body or official shall not file the administrative regulation without first having obtained the review or approval.
  3. Any administrative regulation in violation of this section or the spirit thereof is null, void, and unenforceable.
  4. No administrative body, other than the Court of Justice, shall issue rules.
  5. No administrative body shall issue standards or by any other name issue a document of any type where an administrative regulation is required or authorized by law.

History. Enact. Acts 1984, ch. 417, § 12, effective April 13, 1984; 1986, ch. 499, § 8, effective July 15, 1986; 1990, ch. 516, § 18, effective July 13, 1990; 1994, ch. 410, § 9, effective July 15, 1994; 1996, ch. 180, § 6, effective July 15, 1996; 2016 ch. 82, § 8, effective July 15, 2016.

NOTES TO DECISIONS

1.Parallel Federal Act.

Where a federal act and its regulations provide for a procedure by which an accused strip miner is given a formal hearing, with a full record, rights of examination, cross-examination, subpoenas, etc., and where from this full hearing there is an appeal to an administrative law judge and ultimately to the federal court system, by not providing a similar proceeding, the parallel Kentucky regulations are more stringent than the federal law and regulations, in violation of subsection (1) of this section, thus making former 405 KAR 7:090(4), which provided for a formal hearing only upon prepayment of assessed penalties, null, void and unenforceable. Franklin v. Natural Resources & Environmental Protection Cabinet, 799 S.W.2d 1, 1990 Ky. LEXIS 75 ( Ky. 1990 ).

2.Statute Regulating Same Matter.

KRS Chapter 281A did not set forth a comprehensive scheme of regulating the same matter which was being regulated by an administrative agency in violation of this section, as the administrative regulation was more detailed, comprehensive and pertinent regarding school bus drivers than was the statute, which dealt with commercial driver’s licenses. Cornette v. Commonwealth, 899 S.W.2d 502, 1995 Ky. App. LEXIS 108 (Ky. Ct. App. 1995).

Judgment of the trial court affirming the Secretary of the Commonwealth of Kentucky, Energy and Environment Cabinet’s (Cabinet) imposition of restrictive conditions on all future mining in the area was reversed where 405 KAR 24:030 § 8(3) was contrary to law, KRS 350.610 , and more stringent than the Surface Mining Control and Reclamation Act of 1977, 30 U.S.C.S. § 1201 et seq., thereby rendering it null, void and unenforceable; the Cabinet refused to make a finding of unsuitability yet imposed restrictive conditions consistent with an unsuitability determination. Laurel Mt. Res., LLC v. Commonwealth, 360 S.W.3d 791, 2012 Ky. App. LEXIS 34 (Ky. Ct. App. 2012).

Physician’s discipline based on the suspension of the physician’s license in another state was improper because the regulation applied by the Kentucky Board of Medical Licensure (KBML) invalidly exceeded the KBML’s statutory authority, as the regulation required the KBML to impose the same discipline as that imposed by another state, while the statute granted the KBML discretion to determine the appropriate sanction. Uradu v. Ky. Bd. of Med. Licensure, 2019 Ky. App. LEXIS 24 (Ky. Ct. App. Feb. 22, 2019), review denied, ordered not published, 2019 Ky. LEXIS 275 (Ky. Aug. 21, 2019).

3.Regulations Required.

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ), writ denied, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

4.Regulations Not Required.

KRS 13A.120(2)(d) and 17.175(6) did not require the Department of Juvenile Justice to promulgate any administrative regulations to include procedures for collection of DNA samples and the usage and integrity of the DNA database system. Instead, the Secretary of Justice was required to notify the Kentucky Reviser of Statutes of the date on which statutory sections were implemented under former KRS 17.177(3) (now repealed). Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

Opinions of Attorney General.

Neither the personnel commissioner nor the personnel board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of this section and KRS 13A.130 . OAG 88-15 .

The definition in 201 KAR 23:130(1) (now (2)), which limited the interpretation of philanthropic and nonprofit field service offices to only those agencies which operate on a national or regional basis, went beyond the statutory authority granted to the Board of Examiners of Social Work by the General Assembly. OAG 88-56 .

To the extent that former 903 KAR 5:130 Section 2(5)(b) may be interpreted or applied to modify the time for securing judicial relief in the circuit court pursuant to KRS 341.450 then the regulation is null, void, and unenforceable. OAG 90-84 .

While certain statutes exist that set residency or voting eligibility requirements for law enforcement officers, none exists for conservation officers, and without statutory authority, the Department of Fish and Wildlife Resources may not impose a residency requirement by policy. OAG 91-172 .

Research References and Practice Aids

Northern Kentucky Law Review.

Perkins, Petroleum Storage Regulation in Kentucky, 22 N. Ky. L. Rev. 59 (1995).

Elliot, Kentucky’s Environmental Self-Audit Privilege: State Protection Or Increased Federal Scrutiny?, 23 N. Ky. L. Rev. 1 (1995).

13A.125. Restrictions on filing subsequent proposed administrative regulation with same number and title.

Prior to the effective date of a proposed administrative regulation, an administrative body shall not file a subsequent proposed administrative regulation with the same number or title unless:

  1. The proposed administrative regulation already filed is withdrawn in accordance with KRS 13A.310 ; and
  2. A subsequent proposed administrative regulation is filed in accordance with KRS 13A.220 .

History. Enact. Acts 1990, ch. 516, § 2, effective July 13, 1990; 2003, ch. 89, § 7, effective June 24, 2003; 2016 ch. 82, § 9, effective July 15, 2016.

13A.130. Matters prohibited as subject of internal policy, memorandum, or other form of action.

  1. An administrative body shall not by internal policy, memorandum, or other form of action:
    1. Modify a statute or administrative regulation;
    2. Expand upon or limit a statute or administrative regulation; or
    3. Except as authorized by the Constitution of the United States, the Constitution of Kentucky, or a statute, expand or limit a right guaranteed by the Constitution of the United States, the Constitution of Kentucky, a statute, or an administrative regulation.
  2. Any administrative body memorandum, internal policy, or other form of action violative of this section or the spirit thereof is null, void, and unenforceable.
  3. This section shall not be construed to prohibit an administrative body issuing an opinion or administrative decision that is authorized by statute.

History. Enact. Acts 1984, ch. 417, § 13, effective April 13, 1984; 2016 ch. 82, § 10, effective July 15, 2016.

NOTES TO DECISIONS

1.Purpose.

This was simply a statute designed to enable the board to establish rules of procedure, not to publish regulations; therefore, minimum standards of practice adopted internally were not authorized by statute and could not be used as a basis to suspend surveyor. Kerr v. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors, 797 S.W.2d 714, 1990 Ky. App. LEXIS 155 (Ky. Ct. App. 1990).

A warden’s memorandum to staff and inmates clarifying that canteen receipts for perishable items were to be retained for 60 days in order to avoid confiscation thereof was a reasonable “housekeeping” measure that did not alter the policies collected under 501 KAR 6:020, did not violate KRS 13A.130 , and complied with both statutory and administrative law; the memorandum was reasonably related to penological objectives of minimizing hoarding, bartering, and gambling and was within the Department of Corrections authority pursuant to KRS 196.030(1)(a). Vestal v. Motley, 2007 Ky. App. LEXIS 286 (Ky. Ct. App. Aug. 17, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 161 (Ky. Ct. App. Aug. 17, 2007).

2.Construction With Other Law.

The Transportation Cabinet’s Form TC94-30 regarding parental consent, made to further enforcement of KRS 159.051 , and issued by memorandum, is not impermissible legislating in violation of KRS 13A.130 . Codell v. D.F., 2001 Ky. App. LEXIS 71 (Ky. Ct. App. June 22, 2001).

3.Reliance on Established Practice.

Although this section prohibits an administrative body from modifying an administrative regulation by internal policy or another form of action, where the owner of a retail package liquor license had placed strong reliance on the ABC Board’s interpretation of its own regulation, and had followed the established ABC Board practice of filing dormancy extension requests to keep his license in dormant status, it would be unfair and unjust to overrule the ABC Board’s decision and rule that the owner had no license to transfer. Hagan v. Farris, 807 S.W.2d 488, 1991 Ky. LEXIS 37 ( Ky. 1991 ).

Even though Kentucky did not recognize promises made by administrative agencies under KRS 13A.130 , the Environmental Protection Agency (EPA) was entitled to rely on a commitment letter issued by the state cabinet because the focus was not on the state regulation itself pertaining to antidegradation rules but rather the process that the EPA used to approve the regulations. The EPA used the letter as an interpretation of the cabinet to help its understanding in conducting its approval process, which was not an arbitrary and capricious action. Ky. Waterways Alliance v. Johnson, 426 F. Supp. 2d 612, 2006 U.S. Dist. LEXIS 15689 (W.D. Ky. 2006 ), aff'd in part and rev'd in part, 540 F.3d 466, 2008 FED App. 0333P, 2008 U.S. App. LEXIS 18802 (6th Cir. Ky. 2008 ).

4.Internal Policy Void.

Kentucky Department of Housing, Buildings and Construction’s (DHBC) internal policy was null and void because the DHBC’s internal policy was to effectively presume that no one applying for a master plumber’s license had any kind of criminal conviction, the DHBC ignored the requirement that the DHBC first make a determination that the convicted felon had been successfully rehabilitated, and an administrative agency could not have by its own internal policy or other form of action limited the effect of a statute. Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

5.Parole.

Kentucky Parole Board acted within its authority and within the bounds of its discretionary powers when it denied defendant’s request for parole and ordered him to serve out the remainder of his sentence, as the Board’s actions did not violate the Separation of Powers under Ky. Const. §§ 27 and 28 because the power to grant parole was a purely executive function pursuant to KRS 13A.130 . Simmons v. Commonwealth, 232 S.W.3d 531, 2007 Ky. App. LEXIS 292 (Ky. Ct. App. 2007).

Cited in:

Commonwealth Educ. & Humanities Cabinet Dep’t of Educ. v. Gobert, 979 S.W.2d 922, 1998 Ky. App. LEXIS 121 (Ky. Ct. App. 1998); Commonwealth v. EPI Corp., — S.W.3d —, 2006 Ky. App. LEXIS 114 (Ky. Ct. App. 2006); Commonwealth v. Sierra Club, — S.W.3d —, 2008 Ky. App. LEXIS 312 (Ky. Ct. App. 2008); Commonwealth v. McDonald, 304 S.W.3d 62, 2009 Ky. App. LEXIS 50 (Ky. Ct. App. 2009); Sullivan Univ. Sys. v. Commonwealth, — S.W.3d —, 2012 Ky. App. LEXIS 155 (Ky. Ct. App. 2012); Ky. Ret. Sys. v. W. Ky. Univ., 640 S.W.3d 62, 2021 Ky. App. LEXIS 93 (Ky. Ct. App. 2021).

Opinions of Attorney General.

Neither the personnel commissioner nor the personnel board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of KRS 13A.120 and this section. OAG 88-15 .

13A.140. Administrative regulations presumed valid — Promulgating administrative body to bear burden of proof in court challenge. [Repealed]

HISTORY: Enact. Acts 1984, ch. 417, § 14, effective April 13, 1984; repealed by 2016 ch. 82, § 36, effective July 15, 2016.

13A.150. Specified time for filing.

  1. When any section of this chapter requires that an action be taken at a specified date with regard to filing of items to the Commission and the section does not specify a time deadline, they shall be filed on or before 12 noon, eastern time, on the specified date.
  2. When any section of this chapter requires that an action be taken at a specified date and the specified date falls on a Saturday, Sunday, or holiday, the action shall be taken on or before 12 noon, eastern time, on the working day immediately preceding the Saturday, Sunday, or holiday unless the statute specifies a different deadline.
  3. When any section of this chapter requires that a meeting be held on or before a specified date and the specified date falls on a Saturday, Sunday, or holiday, the meeting shall be held on or before close of business on the working day immediately following the Saturday, Sunday, or holiday.

History. Enact. Acts 1984, ch. 417, § 15, effective April 13, 1984; 1988, ch. 425, § 5, effective July 15, 1988; 1990, ch. 516, § 19, effective July 13, 1990; 2005, ch. 100, § 4, effective June 20, 2005.

13A.160. Notice of hearing to compiler when hearing is required before filing of administrative regulations — Publication. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 16, effective April 13, 1984) was repealed by Acts 2012, ch. 138, § 16, effective July 12, 2012.

13A.170. Methods of promulgating administrative regulations.

Three (3) methods of promulgating administrative regulations are authorized:

  1. An ordinary administrative regulation;
  2. An emergency administrative regulation; and
  3. An administrative regulation in contemplation of a statute.

History. Enact. Acts 1984, ch. 417, § 17, effective April 13, 1984.

13A.180. Ordinary administrative regulation defined.

An ordinary administrative regulation is one that is promulgated in the normal manner by an administrative body and that does not require that it be placed in effect immediately.

History. Enact. Acts 1984, ch. 417, § 18, effective April 13, 1984; 2016 ch. 82, § 11, effective July 15, 2016.

13A.190. Emergency administrative regulations.

  1. An emergency administrative regulation is an administrative regulation that:
    1. An administrative body can clearly demonstrate, through documentary evidence submitted with the filing of the emergency administrative regulation, must be placed into effect immediately in order to:
      1. Meet an imminent threat to public health, safety, welfare, or the environment;
      2. Prevent an imminent loss of federal or state funds;
      3. Meet an imminent deadline for the promulgation of an administrative regulation that is established by state statute or federal law; or
      4. Comply with an executive order issued under KRS Chapter 39A; and
      1. Is temporary in nature and will expire as provided in this section; or
      2. Is temporary in nature and will be replaced by an ordinary administrative regulation as provided in this section.

        For the purposes of this section, “imminent” means within two hundred seventy (270) days of the filing of the emergency administrative regulation.

  2. An agency’s finding of an emergency pursuant to this section shall not be based on the agency’s failure to timely process and file administrative regulations through the ordinary administrative regulation process.
  3. An emergency administrative regulation:
    1. Shall become effective and shall be considered as adopted upon filing;
    2. Shall be published in the Administrative Register in accordance with the publication deadline established in KRS 13A.050(3);
    3. Shall be subject to the public comment provisions established in KRS 13A.270 and 13A.280 ;
      1. May be reviewed at a subsequent meeting of a legislative committee after the filing of the emergency administrative regulation; and
      2. May, by a vote of the majority of the legislative committee’s membership as established by KRS 13A.020(4) and 13A.290(9), be found to be deficient, and the deficiency shall be reported to the Governor pursuant to KRS 13A.330(2); and
    4. May be amended:
      1. By the promulgating administrative body after receiving public comments as established in KRS 13A.280 . The amended after comments version shall:
        1. Become effective upon filing; and
        2. Not require a statement of emergency; or
      2. At a legislative committee meeting as established in KRS 13A.320 . The amendment shall be approved as established by KRS 13A.020(4) and KRS 13A.290(9). The amended version shall become effective upon adjournment of the meeting following the procedures established in KRS 13A.331 .
    1. Except as provided by paragraph (b) of this subsection, emergency administrative regulations shall expire two hundred seventy (270) days after the date of filing or when the same matter filed as an ordinary administrative regulation filed for review is adopted, whichever occurs first.
    2. If an administrative body extends the time for filing a statement of consideration for an ordinary administrative regulation as provided by KRS 13A.280(2)(b), an emergency administrative regulation shall remain in effect for two hundred seventy (270) days after the date of filing plus the number of days extended under the provisions of KRS 13A.280(2)(b) or when the same matter filed as an ordinary administrative regulation filed for review is adopted, whichever occurs first.
    3. Filing an emergency amended after comments administrative regulation shall not affect the expiration of an emergency regulation as established in paragraphs (a) and (b) of this subsection.
  4. Except as established in subsection (6) of this section, an emergency administrative regulation with the same number or title or governing the same subject matter shall not be filed for a period of two hundred seventy (270) days after it has been initially filed.
  5. If an emergency administrative regulation with the same number or title or governing the same subject matter as an emergency administrative regulation filed within the previous two hundred seventy (270) days is filed, it shall contain a detailed explanation of the manner in which it differs from the previously filed emergency administrative regulation. The detailed explanation shall be included in the statement of emergency required by subsection (7) of this section.
  6. Each emergency administrative regulation shall contain a statement of:
    1. The nature of the emergency;
    2. The reasons why an ordinary administrative regulation is not sufficient;
    3. Whether or not the emergency administrative regulation will be replaced by an ordinary administrative regulation;
    4. If the emergency administrative regulation will be replaced by an ordinary administrative regulation, the following statement: “The ordinary administrative regulation (is or is not) identical to this emergency administrative regulation.”;
    5. If the emergency administrative regulation will not be replaced by an ordinary administrative regulation, the reasons therefor; and
    6. If applicable, the explanation required by subsection (6) of this section.
    1. An administrative body shall attach the:
      1. Statement of emergency required by subsection (7) of this section to the front of the original and each copy of a proposed emergency administrative regulation;
      2. Public hearing and public comment period information required by KRS 13A.270(2), regulatory impact analysis, tiering statement, federal mandate comparison, fiscal note, summary of material incorporated by reference if applicable, and other forms or documents required by the provisions of this chapter to the back of the emergency administrative regulation; and
      3. Documentary evidence submitted justifying the finding of an emergency in accordance with subsection (1) of this section to the back of the emergency regulation if it is:
        1. No more than four (4) pages in length; and
        2. Typewritten on white paper, size eight and one-half (8-1/2) by eleven (11) inches, and single-sided.

          Larger volumes of documentary evidence shall be filed in a separate binder or on a CD-ROM or DVD disc.

    2. An administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of the emergency administrative regulation; and
      2. At the same time as, or prior to, filing the paper version, an electronic version of the emergency administrative regulation and the attachments required by paragraph (a) of this subsection saved as a single document for each emergency administrative regulation in an electronic format approved by the regulations compiler.
    3. The original and four (4) copies of each emergency administrative regulation shall be stapled in the top left corner. The fifth copy of each emergency administrative regulation shall not be stapled. The original and the five (5) copies of each emergency administrative regulation shall be grouped together.
  7. The statement of emergency shall have a two (2) inch top margin. The number of the emergency administrative regulation shall be typed directly below the heading “Statement of Emergency.” The number of the emergency administrative regulation shall be the same number as the ordinary administrative regulation followed by an “E.”
  8. Each executive department emergency administrative regulation shall be signed by the head of the administrative body and countersigned by the Governor prior to filing with the Commission. These signatures shall be on the statement of emergency attached to the front of the emergency administrative regulation.
  9. If an emergency administrative regulation will be replaced by an ordinary administrative regulation, the ordinary administrative regulation shall be filed at the same time as the emergency administrative regulation that it will replace.
  10. If an ordinary administrative regulation that was filed to replace an emergency administrative regulation is withdrawn:
    1. The emergency administrative regulation shall expire on the date the ordinary administrative regulation is withdrawn; and
    2. The administrative body shall inform the regulations compiler of the reasons for withdrawal in writing.
    1. If an emergency administrative regulation that was intended to be replaced by an ordinary administrative regulation is withdrawn, the emergency administrative regulation shall expire on the date it is withdrawn.
    2. If an emergency administrative regulation has been withdrawn, the ordinary administrative regulation that was filed with it shall not expire unless the administrative body informs the regulations compiler that the ordinary administrative regulation is also withdrawn.
    3. If an emergency administrative regulation is withdrawn, the administrative body shall inform the regulations compiler of the reasons for withdrawal in writing.
  11. The administrative regulations compiler shall notify all legislative committees of the number, title, and subject matter of all emergency administrative regulations and shall forward any additional information filed about the emergency administrative regulation requested by a legislative committee.

History. Enact. Acts 1984, ch. 417, § 19, effective April 13, 1984; 1988, ch. 71, § 1, effective July 15, 1988; 1988, ch. 425, § 6, effective July 15, 1988; 1990, ch. 516, § 20, effective July 13, 1990; 1994, ch. 410, § 10, effective July 15, 1994; 1996, ch. 180, § 7, effective July 15, 1996; 2000, ch. 406, § 7, effective July 14, 2000; 2003, ch. 89, § 8, effective June 24, 2003; 2005, ch. 100, § 5, effective June 20, 2005; 2016 ch. 82, § 12, effective July 15, 2016; 2021 ch. 7, § 4, effective February 2, 2021.

13A.200. Administrative regulation in contemplation of a statute — Procedure.

An administrative regulation in contemplation of a statute provides a means whereby an administrative body may promulgate and file an administrative regulation following the enactment of a statute authorizing or directing its promulgation by the General Assembly and its approval by the Governor or its becoming law without signature but before the effective date subject to the following:

  1. The administrative regulation may be filed any time after signature by the Governor or upon the act becoming law without the Governor’s signature but prior to the act’s effective date;
  2. The administrative regulation may be reviewed, hearings held, and all other steps taken with regard thereto, except for adoption, prior to the effective date of the statute that authorized or directed its issuance;
  3. All dates and other procedures that apply to an ordinary administrative regulation shall apply to an administrative regulation in contemplation of a statute; and
  4. An administrative regulation in contemplation of a statute shall in all other respects be considered as an ordinary administrative regulation.

History. Enact. Acts 1984, ch. 417, § 20, effective April 13, 1984; 1994, ch. 410, § 11, effective July 15, 1994; 2016 ch. 82, § 13, effective July 15, 2016.

13A.210. Tiering of administrative regulations.

  1. When promulgating administrative regulations and reviewing existing ones, administrative bodies shall, whenever possible, tier their administrative regulations to reduce disproportionate impacts on certain classes of regulated entities, including government or small business, or both, and to avoid regulating entities that do not contribute significantly to the problem the administrative regulation was designed to address. The tiers, however, shall be based upon reasonable criteria and uniformly applied to an entire class. Administrative bodies shall use any number of tiers that will solve most efficiently and effectively the problem the administrative regulation addresses. A written statement shall be submitted to the Legislative Research Commission explaining why tiering was or was not used.
  2. Administrative bodies may use, but shall not be limited to, the following methods of tiering administrative regulations:
    1. Reduce or modify substantive regulatory requirements;
    2. Eliminate some requirements entirely;
    3. Simplify and reduce reporting and recordkeeping requirements;
    4. Provide exemptions from reporting and recordkeeping requirements;
    5. Reduce the frequency of inspections;
    6. Provide exemptions from inspections and other compliance activities;
    7. Delay compliance timetables;
    8. Reduce, modify, or waive fines or other penalties for noncompliance; and
    9. Address and alleviate special problems of individuals and small businesses in complying with an administrative regulation.
  3. When tiering regulatory requirements, administrative bodies may use, but shall not be limited to, size and nonsize variables. Size variables include number of citizens, number of employees, level of operating revenues, level of assets, and market shares. Nonsize variables include degree of risk posed to humans, technological and economic ability to comply, geographic locations, and level of federal funding.
  4. When modifying tiers, administrative bodies shall monitor, but shall not be limited to, the following variables:
    1. Changing demographic characteristics;
    2. Changes in the composition of the workforce;
    3. Changes in the inflation rate requiring revisions of dollar-denominated tiers;
    4. Changes in market concentration and segmentation;
    5. Advances in technology; and
    6. Changes in legislation.

History. Enact. Acts 1984, ch. 417, § 21, effective April 13, 1984; 1990, ch. 516, § 21, effective July 13, 1990; 2003, ch. 89, § 9, effective June 24, 2003; 2004, ch. 165, § 4, effective July 13, 2004.

13A.215. Use of administrative regulation management application — Paper-based filing requirements — Notification to the regulations compiler.

  1. An administrative body may use an administrative regulation management application developed and maintained by the Legislative Research Commission, if available, to satisfy the following requirements of this chapter:
    1. Paper-based filing requirements; and
    2. Notifications to the regulations compiler.
  2. If the filing and notification requirements of this chapter are not available in the administrative regulation management application, the administrative body shall use the paper-based process established by this chapter.
  3. Paper-based shall include any procedure in this chapter that requires an administrative body to file or submit a hard copy to the compiler.

HISTORY: 2021 ch. 125, § 1, effective June 29, 2021.

13A.220. Compliance with KRS 13A.222 and 13A.224 required — Filing with compiler — Format.

All administrative regulations shall comply with the provisions of KRS 13A.222 and 13A.224 .

    1. An administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of an administrative regulation; and
      2. At the same time as, or prior to, filing the paper version, an electronic version of the administrative regulation and required attachments saved as a single document for each administrative regulation in an electronic format approved by the regulations compiler.
    2. If there are differences between the paper copy and the electronic version of an administrative regulation filed with the regulations compiler, the electronic version shall be the controlling version.
  1. The original and four (4) copies of each administrative regulation shall be stapled in the top left corner. The fifth copy of each administrative regulation shall not be stapled. The original and the five (5) copies of each administrative regulation shall be grouped together.
  2. An amendment to an administrative regulation shall not be made on a copy of the administrative regulation reproduced from the Kentucky Administrative Regulations Service or the Administrative Register. It shall be a typed original in the format specified in subsection (4) of this section.
  3. The format of an administrative regulation shall be as follows:
    1. An administrative regulation shall be typewritten on white paper, size eight and one-half (8-1/2) by eleven (11) inches and shall be double-spaced through the last line of the body of the administrative regulation. The first page shall have a two (2) inch top margin. The administrative regulation shall be typed in a twelve (12) point font approved by the regulations compiler. The lines on each page shall be numbered, with each page starting with line number one (1). Pages of an administrative regulation and documents attached to the administrative regulation shall be numbered sequentially. Page numbers shall be centered in the bottom margin of each page. Copies of the administrative regulation may be mechanically reproduced;
    2. The regulations compiler shall place a stamp indicating the date and time of receipt of the administrative regulation in the two (2) inch margin on the first page;
    3. The cabinet, department, and division of the administrative body shall be listed on separate double-spaced lines two (2) inches from the top in the upper left hand corner of the first page. This shall be followed on the next double- spaced line by “(New Administrative Regulation),” “(Amendment),” “(Amended After Comments),” “(Repealer),” “(New Emergency Administrative Regulation),” “(Emergency Amendment),” “(Emergency Amended After Comments),” or “(Emergency Repealer),” whichever is applicable;
    4. The notation shall be followed by the number and title of the administrative regulation on the next double-spaced line. The promulgating administrative body shall contact the regulations compiler prior to filing to obtain an administrative regulation number for a new administrative regulation;
    5. On the next double-spaced line following the number and title of an administrative regulation, after the words “RELATES TO:,” the administrative body shall list all statutes and other enactments, including any branch budget bills or executive orders, to which the administrative regulation relates or which shall be affected by the administrative regulation. After the words “STATUTORY AUTHORITY:” the administrative body shall list the specific statutes and other enactments, where applicable, authorizing the promulgation of the administrative regulation. Federal statutes and regulations shall be cited in the “RELATES TO:” and “STATUTORY AUTHORITY:” sections as provided by KRS 13A.222(4)(n) and (o); and
    6. Following the citations provided for in paragraph (e) of this subsection, and following the words “NECESSITY, FUNCTION, AND CONFORMITY:” the administrative body shall include a brief statement setting forth the necessity for promulgating the administrative regulation, a summary of the functions intended to be implemented by the administrative regulation, and, if applicable, the statement required by KRS 13A.245(2)(b).
  4. The numbering within the body of an administrative regulation shall be the responsibility of the promulgating body, subject to the authority of the regulations compiler to divide or renumber an administrative regulation. The following format shall be used by the administrative body in the numbering of each administrative regulation. Each section shall begin with the word “Section” followed by an Arabic number, and titles of sections shall be initially capitalized. Subsections shall be designated by an Arabic number in parentheses. Paragraphs shall be designated by lower case letters of the alphabet in parentheses (e.g., (a), (b), (c), etc.). Subparagraphs shall be designated by an Arabic number followed by a period (e.g., 1., 2., etc.). Clauses shall be designated by lower case letters of the alphabet followed by a period (e.g., a., b., c., etc.). Subclauses shall be designated by lower case Roman numerals in parentheses (e.g., (i), (ii), (iii), etc.). A section shall not be divided into subsections, paragraphs, subparagraphs, clauses, or subclauses if there is only one (1) item in that level of division.
  5. After the complete text of an administrative regulation, on the following page, the administrative body shall include the following information:
    1. If the provisions of KRS 13A.120(3) are applicable, a statement that the official or the head of the administrative body has reviewed or approved the administrative regulation; the signature of such official or head; and the date on which such review or approval occurred;
    2. The authorizing signature of the administrative body promulgating the administrative regulation, and the date on which the administrative body approved the promulgation;
    3. Information relating to public hearings and the public comment period required by KRS 13A.270 ; and
    4. The name, position, mailing address, telephone number, e-mail address, and facsimile number of the contact person of the administrative body. The contact person shall be the person authorized by the head of an administrative body to:
      1. Receive information relating to issues raised by the public or by a legislative committee prior to a public meeting of the legislative committee;
      2. Negotiate changes in language with a legislative committee in order to resolve such issues; and
      3. Answer questions relating to the administrative regulation.
  6. The format for signatures required by subsection (6)(a) and (b) of this section shall be as follows:
    1. The signature shall be placed on a signature line; and
    2. The name and title of the person signing shall be typed immediately beneath the signature line.
  7. An administrative body shall prominently display on its Web site:
    1. A notice that an administrative regulation has been filed with the Commission;
    2. A summary of the administrative regulation including:
      1. The number of the administrative regulation;
      2. The title of the administrative regulation; and
      3. Any changes made if it is an existing administrative regulation;
    3. Information on how to access the administrative regulation on the Commission’s Web site; and
    4. The dates of the public comment period and the place, time, and date of the scheduled public hearing as well as the manner in which interested parties shall submit:
      1. Notification of attending the public hearing; and
      2. Written comments.
    1. A letter of request, notification, or withdrawal required to be filed with the regulations compiler pursuant to this chapter may be filed electronically if the letter:
      1. Is on the administrative body’s official letterhead; and
      2. Contains the signature of a representative of that administrative body.
    2. Paragraph (a) of this subsection shall not apply to the letters required by KRS 13A.320(2)(b) for amendments at a legislative committee meeting.

History. Enact. Acts 1984, ch. 417, § 22, effective April 13, 1984; 1988, ch. 425, § 7, effective July 15, 1988; 1990, ch. 516, § 22, effective July 13, 1990; 1994, ch. 387, § 13, effective July 15, 1994; 1994, ch. 410, § 12, effective July 15, 1994; 1996, ch. 180, § 8, effective July 15, 1996; 1996, ch. 330, § 1, effective July 15, 1996; 1998, ch. 38, § 4, effective July 15, 1998; 2000, ch. 406, § 8, effective July 14, 2000; 2003, ch. 89, § 10, effective June 24, 2003; 2005, ch. 100, § 6, effective June 20, 2005; 2012, ch. 138, § 4, effective July 12, 2012; 2016 ch. 82, § 14, effective July 15, 2016; 2021 ch. 7, § 5, effective February 2, 2021.

NOTES TO DECISIONS

1.Filing of Regulation.

Where Alcoholic Beverage Control Board entered order on December 27th increasing number of retail package liquor licenses for Franklin County by one and at the same time granted applicant a retail package liquor license, such license was void as the order increasing the number of licenses did not become effective until the original and two copies of the order were filed in the Secretary of State’s office which filing was not done until January 7th. (Decided under prior law) Shearer v. Dailey, 312 Ky. 226 , 226 S.W.2d 955, 1950 Ky. LEXIS 624 ( Ky. 1950 ).

13A.221. Division of subject matter of administrative regulation.

  1. An administrative body shall divide the general subject matter of administrative regulations it promulgates into topics. A separate administrative regulation shall be promulgated for each topic.
  2. An administrative body shall not incorporate all material relating to a general subject matter in one (1) administrative regulation. Material incorporated by reference shall be incorporated by reference in the administrative regulation governing the specific topic to which the material relates.
  3. When an administrative regulation is promulgated, the administrative body shall review the administrative regulation, whether it is new or amended, in its entirety for compliance with the requirements of KRS Chapter 13A and current law governing the subject matter of the administrative regulation.

History. Enact. Acts 1990, ch. 516, § 12, effective July 13, 1990; 2000, ch. 406, § 9, effective July 14, 2000; 2016 ch. 82, § 15, effective July 15, 2016.

13A.222. Drafting rules.

  1. In a new administrative regulation, there shall be no underlining or bracketing.
  2. In an amendment to an administrative regulation, the new words shall precede the deleted words. The administrative body shall:
    1. Underline all new words; and
    2. Place the deleted words in brackets and strike through these words.
    1. An administrative regulation shall not be amended by reference to a section only. An amendment shall contain the full text of the existing administrative regulation being amended. All changes made to the text of the existing administrative regulation shall be marked as required by subsection (2) of this section.
    2. A section of an administrative regulation shall not be reserved for future use.
  3. In drafting administrative regulations, the administrative body shall comply with the following requirements:
    1. The administrative body shall use plain and unambiguous words that are easily understood by laymen. The administrative body shall avoid ambiguous, indefinite, or superfluous words and phrases;
    2. A duty, obligation, or prohibition shall be expressed by “shall” or “shall not.” “Should,” “could,” or “must” shall not be used. The future tense shall not be expressed by the word “shall.” A discretionary power shall be expressed by “may”;
    3. The words “said,” “aforesaid,” “hereinabove,” “hereinafter,” “beforementioned,” “whatsoever,” or similar words of reference or emphasis shall not be used. Where an article may be used, the administrative body shall not use the word “such.” It shall not use the expression “and/or” and shall not separate alternatives with a slash. It shall not use contractions. When a number of items are all mandatory, the word “and” shall be used. When all of a number of items are not mandatory, the word “or” shall be used;
    4. Certain words are defined in the Kentucky Revised Statutes. Where applicable, these definitions shall be used. Definitions appearing in the Kentucky Revised Statutes shall not be duplicated in a proposed administrative regulation. A reference shall be made to the chapters and sections of the Kentucky Revised Statutes in which the definitions appear. The format for this reference shall be: “(“Defined term”) is defined by KRS (specific citation).”;
      1. If definitions are used, they shall be placed in alphabetical order in the first section of an administrative regulation or in a separate administrative regulation.
        1. If definitions are placed in the first section of an administrative regulation, the definitions shall govern only the terms in that administrative regulation.
        2. The section shall be titled “Definition.” or “Definitions.”
        3. A definition shall not be included in a definitions section if the defined term is not used in that administrative regulation or the material incorporated by reference in that administrative regulation.
        1. If definitions are placed in a separate administrative regulation, that administrative regulation shall be the first administrative regulation of the specific chapter of the Kentucky Administrative Regulations Service to which the definitions apply.
        2. The title of the administrative regulation shall contain the number of the chapter of the Kentucky Administrative Regulations Service to which the definitions apply and shall be in the format: “Definitions for (title number) KAR Chapter (chapter number).”
        3. A definition shall not be included in a definitions administrative regulation if the defined term is not used in an administrative regulation in that specific chapter or the material incorporated by reference in an administrative regulation in that chapter.
      2. In the text of an administrative regulation, the word defined in the definitions section, rather than the definition, shall be used.
      3. Definitions shall be used only:
        1. When a word is used in a sense other than its dictionary meaning, or is used in the sense of one of several dictionary meanings;
        2. To avoid repetition of a phrase; or
        3. To limit or extend the provisions of an administrative regulation.
      4. Definitions shall not establish requirements or standards;
    5. If a word has the same meaning as a phrase, the word shall be used;
    6. The present tense and the indicative mood shall be used. Conditions precedent shall be stated in the perfect tense if their happening is required to be completed;
    7. The same arrangement and form of expression shall be used throughout an administrative regulation, unless the meaning requires variations;
    8. If” or “except” shall be used rather than “provided that” or “provided, however.” “If” shall be used to express conditions, rather than the words “when” or “where”;
    9. A word importing the masculine gender may extend to females. A word importing the singular number may extend to several persons or things;
    10. Any reference in an administrative regulation to “medical doctor,” “M.D.,” or “physician” shall be deemed to include a doctor of osteopathy or D.O., unless either of those terms is specifically excluded;
    11. An administrative body shall use the phrases specified in this subsection:
      1. Unless the authority for an administrative regulation is an appropriation provision that is not codified in the Kentucky Revised Statutes, the specific chapter and section number of the Kentucky Revised Statutes authorizing the promulgation of an administrative regulation shall be cited.
        1. If an act has not been codified in the Kentucky Revised Statutes at the time an administrative regulation is promulgated, or if the authority is any branch budget bill, the citation shall be as follows: “(year) Ky. Acts ch. (chapter number), sec. (section number).” When an act has been codified, the administrative body shall notify the regulations compiler of the proper citation in writing. Upon receipt of the written notice, the regulations compiler shall correct the citation.
        2. For acts of extraordinary sessions, the citation shall be as follows: “(year) (Extra. Sess.) Ky. Acts ch. (chapter number), sec. (section number).” If there is more than one (1) extraordinary session of the General Assembly in the year, the citation shall specify the specific extraordinary session, as follows: “(year) (2d Extra. Sess.) Ky. Acts ch. (chapter number), sec. (section number).”
      2. When an act has been codified, the administrative body shall notify the regulations compiler of the proper citation of the Kentucky Revised Statutes in writing. Upon receipt of the written notice, the regulations compiler shall correct the citation.
      3. If the statutory authority is an appropriation act, the citation shall be as follows: “(year) Ky. Acts ch. (chapter number), Part (part and subpart numbers).”
      4. If the authority is an executive order, the citation shall be as follows: “EO (year executive order issued)-(number of executive order);
    12. If the statutory authority is a federal statute, the citation shall be the:
      1. United States Code (U.S.C.), if it has been codified; or
      2. Public Law (Pub. L.) and official session laws, if it has not been codified;
      1. If the statutory authority is a federal regulation codified in the Code of Federal Regulations, the citation shall include the title, part, and section number, as follows: “(title number) C.F.R. (part and section number).”
        1. If the statutory authority is a federal regulation that has not been codified in the Code of Federal Regulations, the citation shall be to the Federal Register, as follows: “(volume number) Fed. Reg. (page number) (effective date of the federal regulation) (section of Code of Federal Regulations in which it will be codified).”
        2. When the federal regulation is codified, the citation shall be amended to read as provided by subparagraph 1. of this paragraph.
        1. If the statutory authority is a federal regulation that has been amended, and the amendment is not reflected in the current issue date of the volume of the Code of Federal Regulations in which the federal regulation is codified, the citation shall be to the Federal Register as follows: “(federal regulation that has been amended), (volume number) Fed. Reg. (page number) (effective date of the amendment).”
        2. When the amendment is codified in the appropriate volume of the Code of Federal Regulations, the citation shall be amended to read as provided by subparagraph 1. of this paragraph;
    13. Citations of items in the “RELATES TO” paragraph of an administrative regulation shall comply with paragraphs (m), (n), and (o) of this subsection; and
    14. An administrative regulation may cite the popular name of a federal or state law if the first usage of the popular name in that administrative regulation is accompanied by the citation required by this subsection.

Do Not Use: Use: And/or “and” for a conjunctive “or” for a disjunctive Any and all either word As provided in this administrative regulation —— And the same hereby is is Either directly or indirectly —— Except where otherwise provided State specific exemption. Final and conclusive final Full force and effect force or effect In the event that; In case if Including but not limited to State the specific items to be included. Is authorized; Is empowered may Is defined and shall be construed to mean means Is hereby required to shall It shall be lawful may Latin words Do not use unless medical or scientific terminology. However, “et seq.” may be used for citations. Null and void and of no effect void Order and direct either word Provision of law law Until such time as until Whenever if;

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History. Enact. Acts 1988, ch. 425, §§ 1, 2, effective July 15, 1988; 1990, ch. 516, § 23, effective July 13, 1990; 1994, ch. 387, § 14, effective July 15, 1994; 1994, ch. 410, § 13, effective July 15, 1994; 1996, ch. 180, § 9, effective July 15, 1996; 2000, ch. 406, § 10, effective July 14, 2000; 2005, ch. 100, § 7, effective June 20, 2005; 2011, ch. 73, § 1, effective June 8, 2011; 2012, ch. 138, § 5, effective July 12, 2012; 2016 ch. 82, § 16, effective July 15, 2016.

NOTES TO DECISIONS

Cited in:

AK Steel Corp. v. Commonwealth, 87 S.W.3d 15, 2002 Ky. App. LEXIS 1921 (Ky. Ct. App. 2002).

13A.224. General requirements for incorporation by reference.

No material shall be incorporated by reference unless:

  1. The material incorporated by reference relates only to the specific subject matter governed by an administrative regulation;
  2. The material has been reviewed in detail by the administrative body;
  3. No state statute or federal law prescribes the same or similar procedure, or sets forth a comprehensive scheme of regulation of the subject matter; and
  4. Its incorporation is necessary in order to:
    1. Implement, interpret, or prescribe law or policy authorized or required by statute; or
    2. Establish or describe the organization, procedure, or practice requirements authorized or required by statute.

History. Enact. Acts 1988, ch. 425, § 3, effective July 15, 1988; 1990, ch. 516, § 24, effective July 13, 1990; 2016 ch. 82, § 17, effective July 15, 2016.

13A.2245. Incorporation of code or uniform standard by reference.

  1. An administrative body may incorporate by reference a code or uniform standard if a federal or state statute:
    1. Requires or authorizes an administrative body to implement, or a regulated entity to comply with, the provisions of that code or uniform standard; and
    2. Does not set forth the code or uniform standard, or a comprehensive scheme of regulation.
  2. If a code or uniform standard is changed by the administrative body, the administrative body shall:
    1. Clearly state the provisions in the body of the administrative regulation that are different than those included in the code or uniform standard; and
    2. File with the regulations compiler a:
      1. Copy of the code or uniform standard;
      2. Summary listing the pages upon which changes have been made; and
      3. Detailed summary of the changes and their effect.

        The summaries shall be attached to the back of the proposed administrative regulation.

  3. If a federal regulation requires an administrative body to adopt, develop, or implement material of a scientific or technical nature that does not lend itself to the format requirements of KRS Chapter 13A, the administrative body may incorporate the material by reference in an administrative regulation as provided by KRS 13A.2251 and 13A.2255 .

History. Enact. Acts 1990, ch. 516, § 6, effective July 13, 1990; 2000, ch. 406, § 11, effective July 14, 2000; 2005, ch. 100, § 8, effective June 20, 2005; 2012, ch. 138, § 6, effective July 12, 2012.

13A.2251. Information required in administrative regulation when incorporating material by reference.

  1. An administrative body shall incorporate material by reference in the last section of an administrative regulation. This section shall include:
    1. The title of the material incorporated by reference placed in quotation marks, followed by the edition date of the material;
    2. Information on how the material may be obtained; and
    3. A statement that the material is available for public inspection and copying, subject to copyright law, at the main, regional, or branch offices of the administrative body, and the address and office hours of each. Following the required statement, the administrative body shall include information that states the administrative body’s Web site address or telephone number or that provides contact information for other sources that may have the material available to the public.
  2. The section incorporating material by reference shall be titled “Incorporation by Reference”.
    1. If only one (1) item is incorporated by reference, the first subsection of the section incorporating material by reference shall contain the following statement: “(name and edition date of material incorporated) is incorporated by reference.”
    2. If more than one (1) item is incorporated by reference, the first subsection of the section incorporating material by reference shall contain the following statement: “The following material is incorporated by reference: (a) (name and edition date of first item incorporated); and (b) (name and edition date of second item incorporated).”
    3. The second subsection of the section incorporating material by reference shall include the following statement: “This material may be inspected, copied, or obtained, subject to applicable copyright law, at (name of administrative body, full address), Monday through Friday, (state the regular office hours).”
  3. A summary of the incorporated material, in detail sufficient to identify the subject matter to which it pertains, shall be attached to an administrative regulation that incorporates material by reference. This summary shall include:
    1. Relevant programs, statutes, funds, rights, duties, and procedures affected by the material and the manner in which they are affected;
    2. A citation of the specific state or federal statutes or regulations authorizing or requiring the procedure or policy found in the material incorporated by reference; and
    3. The total number of pages incorporated by reference.
      1. One (1) copy of the material incorporated by reference shall be filed with the regulations compiler when the administrative regulation is filed. (4) (a) 1. One (1) copy of the material incorporated by reference shall be filed with the regulations compiler when the administrative regulation is filed.
      2. For material incorporated by reference that was developed by the promulgating administrative body:
        1. The material incorporated by reference shall be prominently displayed on the administrative body’s Web site; and
        2. The Uniform Resource Locator (URL) of the address where the material may be directly viewed on the agency’s Web site shall be included in the body of the administrative regulation.
      3. For materials incorporated by reference that are subject to a valid copyright owned by a third party not controlled by the promulgating administrative body, the material shall be referenced by providing sufficient information to assist in locating the material from the third party.
    1. Material incorporated by reference shall be placed in a binder, attached to the back of the administrative regulation, or filed on a CD-ROM or DVD.
      1. If the material is placed in a binder, the administrative body shall indicate, on the front binder cover and on the first page of the material incorporated by reference, the:
        1. Number of the administrative regulation to which the material incorporated by reference pertains;
        2. Date on which it is filed; and
        3. Citation of each item that is included in the binder.
      2. The material incorporated by reference may be attached to the back of the administrative regulation if it is:
        1. No more than four (4) pages in length; and
        2. Typewritten on white paper, size eight and one-half (8 1/2) by eleven (11) inches, and single-sided.
      3. The material incorporated by reference may be filed on a CD-ROM or DVD disc if the material is saved in Adobe Portable Document Format (PDF). The administrative body shall indicate on the disc and the disc’s storage case the:
        1. Number of the administrative regulation to which the material incorporated by reference pertains;
        2. Date on which it is filed; and
        3. Citation of each item that is included on the disc.
    2. If the same material is incorporated by reference in more than one (1) administrative regulation, an administrative body may file one (1) copy of the material in a binder or on a CD-ROM or DVD disc. The numbers of the administrative regulations in which the material is incorporated by reference shall be indicated with the other information as required by paragraph (b) of this subsection.

History. Enact. Acts 1990, ch. 516, § 7, effective July 13, 1990; 1994, ch. 410, § 14, effective July 15, 1994; 1996, ch. 180, § 10, effective July 15, 1996; 1998, ch. 38, § 5, effective July 15, 1998; 2000, ch. 406, § 12, effective July 14, 2000; 2005, ch. 100, § 9, effective June 20, 2005; 2016 ch. 82, § 18, effective July 15, 2016; 2021 ch. 7, § 6, effective February 2, 2021.

13A.2255. Amendment of material previously incorporated by reference.

  1. When an administrative body amends material that had been previously incorporated by reference, the amendment shall be accomplished by submission of:
    1. An amendment to the administrative regulation with a new edition date for the material incorporated by reference. The amendment shall be filed in accordance with:
      1. KRS 13A.220 to initiate a change in an existing administrative regulation;
      2. KRS 13A.280 to amend a proposed administrative regulation as a result of the hearing or written comments received; or
      3. KRS 13A.320 to amend a proposed administrative regulation at a legislative committee meeting;
      1. An entire new document in which the amendments have been made but are not reflected in the manner specified in KRS 13A.222(2).
      2. If the new document has been developed by the promulgating administrative body, the entire document shall be displayed prominently on the administrative body’s Web site and the Uniform Resource Locator (URL) of the address where the material may be directly viewed on the agency’s Web site shall be included in the body of the administrative regulation.
      3. If any materials incorporated by reference are subject to a valid copyright owned by a third party not controlled by the promulgating administrative body, the material shall be referenced by providing sufficient information to assist in locating the material from the third party;
    2. A detailed summary of the changes and their effect. This summary shall:
        1. Describe changes that are being made in the material incorporated by reference, in sufficient detail that a person reading the summary will know the differences between the material previously incorporated by reference and the new material; or
        2. List each change in the manner required by KRS 13A.320 (2)(c) and (d); and
      1. Be attached to the back of the administrative regulation or, if part of an amendment pursuant to KRS 13A.320, to the amendment submitted for the legislative committee meeting; and
    3. The page or pages of any document developed by the promulgating administrative body in which changes have been made, with the changes accomplished in the manner specified in KRS 13A.222(2). Notwithstanding KRS 13A.040(6), the regulations compiler shall not be required to keep these marked copies once the administrative regulation has been adopted or withdrawn.
    1. If the changes to the material incorporated by reference are technical in nature and authorized by KRS 13A.040(10) or 13A.312 , the administrative body may submit to the regulations compiler a copy of the revised material incorporated by reference and a detailed letter explaining what changes are made and the reason for the changes.
    2. If the regulations compiler determines that the requested change does not affect the substance of the material incorporated by reference and that the change is authorized by KRS 13A.040(10) or 13A.312 , the edition date stated in the administrative regulation shall be changed to match the edition date on the revised material and the history line of that administrative regulation shall note that a technical amendment was made.
    3. If the requested change affects the substance of the material incorporated by reference or is not authorized by KRS 13A.040(10) or 13A.312, the administrative body shall comply with subsection (1) of this section.

History. Enact. Acts 1990, ch. 516, § 8, effective July 13, 1990; 1994, ch. 410, § 15, effective July 15, 1994; 2000, ch. 406, § 13, effective July 14, 2000; 2005, ch. 100, § 10, effective June 20, 2005; 2012, ch. 138, § 7, effective July 12, 2012; 2016 ch. 82, § 19, effective July 15, 2016; 2021 ch. 7, § 7, effective February 2, 2021.

13A.2261. Federal statutes and regulations not to be incorporated by reference.

Federal statutes and regulations shall not be incorporated by reference. If applicable, they shall be cited in the “RELATES TO” and “STATUTORY AUTHORITY” references in a proposed administrative regulation.

History. Enact. Acts 1990, ch. 516, § 9, effective July 13, 1990; 2005, ch. 100, § 11, effective June 20, 2005.

13A.2264. Incorporation by reference of federal regulation — Prohibitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 10, effective July 13, 1990; 1998, ch. 38, § 11, effective July 15, 1998) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.2267. Certain federal regulations prohibited from incorporation — Procedure for submission of federal regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 11, effective July 13, 1990; 1998, ch. 38, § 12, effective July 15, 1998) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.230. Other material to be filed with and e-mailed to compiler.

  1. The administrative body shall attach the following forms to the back of the original and each copy of an administrative regulation:
    1. Regulatory impact analysis as required by KRS 13A.240 ;
    2. Tiering statement as required by KRS 13A.210 ;
    3. Fiscal note as required by KRS 13A.250 ;
    4. Federal mandate comparison, if applicable, as required by KRS 13A.245 ; and
    5. The summaries provided for in KRS 13A.2245 , 13A.2251 , or 13A.2255 , if applicable.
  2. The forms required by subsection (1) of this section shall be obtained from the regulations compiler.
  3. The electronic version of an administrative regulation and the attachments required by subsection (1) of this section shall be sent by e-mail to the regulations compiler in a single document at the same time as, or prior to, filing the paper version in accordance with KRS 13A.190 , 13A.220 , or 13A.280 in an electronic format approved by the regulations compiler.

History. Enact. Acts 1984, ch. 417, § 23, effective April 13, 1984; 1986, ch. 89, § 7, effective July 15, 1986; 1988, ch. 425, § 8, effective July 15, 1988; 1990, ch. 516, § 25, effective July 13, 1990; 1994, ch. 410, § 16, effective July 15, 1994; 2003, ch. 89, § 11, effective June 24, 2003; 2005, ch. 100, § 12, effective June 20, 2005; 2012, ch. 138, § 8, effective July 12, 2012; 2016 ch. 82, § 20, effective July 15, 2016.

13A.240. Regulatory impact analysis.

  1. Every administrative body shall prepare and submit to the Legislative Research Commission an original and five (5) duplicate copies of a regulatory impact analysis for every administrative regulation when it is filed with the Commission. The regulatory impact analysis shall include the following information:
    1. The number of the administrative regulation;
    2. The name, e-mail address, and telephone number of the contact person of the administrative body identified pursuant to KRS 13A.220(6)(d), and, if applicable, the name, e-mail address, and telephone number of an alternate person to be contacted with specific questions about the regulatory impact analysis;
    3. A brief narrative summary of:
      1. What the administrative regulation does;
      2. The necessity of the administrative regulation;
      3. How the administrative regulation conforms to the content of the authorizing statutes; and
      4. How the administrative regulation currently assists or will assist in the effective administration of the statutes;
    4. If this is an amendment to an existing administrative regulation, a brief narrative summary of:
      1. How the amendment will change the existing administrative regulation;
      2. The necessity of the amendment to the administrative regulation;
      3. How the amendment conforms to the content of the authorizing statutes; and
      4. How the amendment to the administrative regulation will assist in the effective administration of the statutes;
    5. The type and number of individuals, businesses, organizations, or state and local governments affected by the administrative regulation;
    6. An analysis of how the entities referenced in paragraph (e) of this subsection will be impacted by either the implementation of this administrative regulation, if new, or by the change if it is an amendment to an existing administrative regulation. The analysis shall include but not be limited to:
      1. A detailed explanation of the actions the entities referenced in paragraph (e) of this subsection will be required to undertake in order to comply with the proposed administrative regulation;
      2. An estimate of the costs imposed on entities referenced in paragraph (e) of this subsection in order to comply with the proposed administrative regulation; and
      3. The benefits that may accrue to the entities referenced in paragraph (e) of this subsection as a result of compliance;
    7. An estimate of how much it will cost the administrative body to implement this administrative regulation, both initially and on a continuing basis;
    8. The source of the funding to be used for the implementation and enforcement of the administrative regulation;
    9. An assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation or amendment to an existing administrative regulation;
    10. A statement as to whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees; and
    11. The tiering statement required by KRS 13A.210 .
  2. The Legislative Research Commission shall review all regulatory impact analyses submitted by all administrative bodies, and may require any administrative body to submit background data upon which the information required by subsection (1) of this section is based, and an explanation of how the data was gathered.

History. Enact. Acts 1984, ch. 417, § 24, effective April 13, 1984; 1994, ch. 410, § 17, effective July 15, 1994; 2000, ch. 406, § 14, effective July 14, 2000; 2005, ch. 100, § 13, effective June 20, 2005; 2006, ch. 166, § 1, effective July 12, 2006; 2016 ch. 82, § 21, effective July 15, 2016.

13A.245. Agencies to prepare a federal mandate analysis comparing proposed state regulatory standards to federal standards — Relationship between state administrative regulation and federal law or regulation governing a subject matter.

    1. When promulgating administrative regulations and amending existing administrative regulations in response to a federal mandate, an administrative body shall compare its proposed compliance standards with any minimum or uniform standards suggested or contained in the federal mandate.
    2. Such a comparison shall include, in detail, a written determination by the administrative body on whether the proposed state administrative regulation will impose stricter requirements or other responsibilities on the regulated entities than those required by the federal mandate.
    3. If the administrative body determines that the proposed state administrative regulation imposes additional requirements or responsibilities on the regulated entities than is required by the federal mandate, the administrative body shall include in its comparison analysis a written statement justifying the imposition of stricter standards, requirements, or responsibilities.
    1. Except as provided by paragraph (b) of this subsection, an administrative regulation shall conform to a federal law or regulation governing a subject matter if an administrative body is:
      1. Not required by federal law or regulation to promulgate an administrative regulation to comply with a federal law or regulation governing the subject matter; and
      2. Required or authorized by state law to promulgate an administrative regulation governing the subject matter.
    2. If the administrative regulation is more stringent than or otherwise differs from the federal law or regulation governing the subject matter, the administrative body shall state in detail in the “NECESSITY, FUNCTION, AND CONFORMITY” paragraph of the administrative regulation the manner in which it is more stringent than or otherwise differs from the federal law or regulation, and the reasons therefor.

History. Enact. Acts 1986, ch. 89, § 8, effective July 15, 1986; 1996, ch. 330, § 2, effective July 15, 1996.

13A.250. Consideration of costs to local and state government and to regulated entities — Fiscal note.

  1. An administrative body that promulgates an administrative regulation shall consider the cost that the administrative regulation may cause state or local government and regulated entities to incur.
    1. A two (2) part cost analysis shall be completed for each administrative regulation.
    2. The first part of the cost analysis shall include the projected cost or cost savings to the Commonwealth of Kentucky and each of its affected agencies, and the projected cost or cost savings to affected local governments, including cities, counties, fire departments, and school districts.
    3. The second part of the cost analysis shall include the projected cost or cost savings to the regulated entities affected by the administrative regulation.
    4. Agencies or entities affected by the administrative regulation may submit comments in accordance with KRS 13A.270(1) to the promulgating administrative body or to a legislative committee reviewing the administrative regulation.
  2. Each administrative body that promulgates an administrative regulation shall prepare and submit with the administrative regulation a fiscal note. The fiscal note shall state:
    1. The number of the administrative regulation;
    2. The name, e-mail address, and telephone number of the contact person of the administrative body identified pursuant to KRS 13A.220(6)(d), and, if applicable, the name, e-mail address, and telephone number of an alternate person to be contacted with specific questions about the fiscal note;
    3. Each unit, part, or division of state or local government the administrative regulation will affect;
    4. In detail, the aspect or service of state or local government to which the administrative regulation relates, including identification of the applicable state or federal statute or regulation that mandates the aspect or service or authorizes the action taken by the administrative regulation;
    5. The estimated effect of the administrative regulation on the expenditures and revenues of a state or local government agency or regulated entity for the first full year the administrative regulation will be in effect. If specific dollar estimates cannot be determined, the administrative body shall provide a brief narrative to explain the fiscal impact of the administrative regulation; and
    6. The conclusion of the promulgating administrative body as to whether the administrative regulation will have a major economic impact, as defined in KRS 13A.010 , to state and local government and regulated entities.
  3. Any administrative body may request the advice and assistance of the Commission in the preparation of the fiscal note.

History. Enact. Acts 1984, ch. 417, § 25, effective April 13, 1984; 1994, ch. 410, § 18, effective July 15, 1994; 2003, ch. 89, § 12, effective June 24, 2003; 2006, ch. 166, § 2, effective July 12, 2006; 2006, ch. 197, § 1, effective July 12, 2006; 2012, ch. 138, § 9, effective July 12, 2012; 2016 ch. 82, § 22, effective July 15, 2016; 2021 ch. 7, § 8, effective February 2, 2021; 2022 ch. 207, § 2, effective April 14, 2022.

Legislative Research Commission Notes.

(4/14/2022). This statute was amended by 2022 Ky. Acts ch. 207, sec. 2. Under Section 5 of that Act, the Act shall be known and may be cited as the Kentucky REINS Act, or the Kentucky Regulations from the Executive in Need of Scrutiny Act.

13A.255. Notice of ordinary administrative regulation proposing to establish or increase fees.

  1. Within five (5) working days of the filing of an ordinary administrative regulation that proposes to establish or increase fees, except those fees exempted by KRS 13A.100(3), an administrative body shall mail or e-mail a notice containing the information required by subsection (2) of this section, to each state association, organization, or other body representing a person or entity affected by the administrative regulation.
  2. The notice shall include the following information:
    1. The name of the administrative body that filed the proposed administrative regulation;
    2. A statement that the administrative body has promulgated an administrative regulation that establishes or increases fees;
    3. A summary of the administrative regulation that includes:
      1. The amount of each fee being established;
      2. The amount of any increases to any fees previously established; and
      3. The necessity for the establishment or increase in the fees;
    4. A statement that a person or entity may contact the administrative body for additional information;
    5. The time, date, and place of the scheduled public hearing;
    6. The deadline for submitting written comments as established in KRS 13A.270(1)(c); and
    7. The name, mailing address, e-mail address, and telephone number of the contact person for the administrative body identified pursuant to KRS 13A.220(6)(d).

History. Enact. Acts 2000, ch. 406, § 1, effective July 14, 2000; 2005, ch. 100, § 14, effective June 20, 2005; 2012, ch. 138, § 10, effective July 12, 2012; 2016 ch. 82, § 23, effective July 15, 2016.

13A.260. Assignment of proposed administrative regulation to a subcommittee for review and consideration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 26, effective April 13, 1984) was repealed by Acts 1988, ch. 71, § 11, effective March 16, 1988.

13A.270. Public hearing and comments — Notice — Communication by e-mail regarding administrative regulations — When notification of regulations compiler required.

    1. In addition to the public comment period required by paragraph (c) of this subsection, following publication in the Administrative Register of the text of an administrative regulation, the administrative body shall, unless authorized to cancel the hearing pursuant to subsection (7) of this section, hold a hearing, open to the public, on the administrative regulation.
    2. The public hearing for an:
      1. Ordinary administrative regulation shall not be held before the twenty-first day or after the last workday of the month following the month in which the administrative regulation is published in the Administrative Register; or
      2. Emergency administrative regulation shall not be held before the twenty-first day or after the last workday of the month in which the administrative regulation is published in the Administrative Register.

        Nothing in this paragraph shall preclude the administrative body from holding additional public hearings in addition to the hearing mandated in subparagraph 1. or 2. of this paragraph.

    3. The administrative body shall accept written comments regarding the administrative regulation during the comment period. The comment period shall begin on the date the administrative regulation is filed with the regulations compiler and:
      1. For an ordinary administrative regulation, shall run until 11:59 p.m. on the last day of the calendar month following the month in which the administrative regulation was published in the Administrative Register; or
      2. For an emergency administrative regulation, shall run until 11:59 p.m. on the last day of the calendar month in which the administrative regulation is published in the Administrative Register.
  1. Each administrative regulation shall state:
    1. The place, time, and date of the scheduled public hearing;
    2. The manner in which interested persons shall submit their:
      1. Notification of attending the public hearing; and
      2. Written comments;
    3. That notification of attending the public hearing shall be transmitted to the administrative body no later than five (5) workdays prior to the date of the scheduled public hearing;
    4. The deadline for submitting written comments regarding the administrative regulation in accordance with subsection (1)(c) of this section; and
    5. The name, position, mailing address, e-mail address, and telephone and facsimile numbers of the person to whom a notification and written comments shall be transmitted.
    1. A person who wishes to be notified that an administrative body has filed an administrative regulation shall:
      1. Contact the administrative body by telephone or written letter to request that the administrative body send the information required by paragraph (c) or (d) of this subsection to the person; or
      2. Complete an electronic registration form located on a centralized state government Web site developed and maintained by the Commonwealth Office of Technology.
    2. A registration submitted pursuant to paragraph (a) of this subsection shall:
      1. Indicate whether the person wishes to receive notification regarding:
        1. All administrative regulations promulgated by an administrative body; or
        2. Each administrative regulation that relates to a specified subject area. The subject areas shall be provided by the administrative bodies and shall be listed on the centralized state government Web site in alphabetical order;
      2. Include a request for the person to provide an e-mail address in order to receive regulatory information electronically;
      3. Be valid for a period of four (4) years from the date the registration is submitted, or until the person submits a written request to be removed from the notification list, whichever occurs first; and
      4. Be transmitted to the promulgating administrative body, if the registration was made through the centralized state government Web site. The collected e-mail addresses shall be used solely for the purposes of this subsection and shall not be sold, transferred, or otherwise made available to third parties, other than the promulgating administrative body.
    3. A copy of the administrative regulation as filed, and all attachments required by KRS 13A.230(1), shall be e-mailed:
      1. To every person who has:
        1. Registered pursuant to paragraph (a) of this subsection; and
        2. Provided an e-mail address as part of the registration request;
      2. Within five (5) working days after the date the administrative regulation is filed with the Commission; and
      3. With a request from the administrative body that affected individuals, businesses, or other entities submit written comments that identify the anticipated effects of the proposed administrative regulation.
    4. Within five (5) working days after the date the administrative regulation is filed with the Commission, the administrative body shall mail the following information to every person who has registered pursuant to paragraph (a) of this subsection but did not provide an e-mail address:
      1. A cover letter from the administrative body requesting that affected individuals, businesses, or other entities submit written comments that identify the anticipated effects of the proposed administrative regulation;
      2. A copy of the regulatory impact analysis required by KRS 13A.240 completed in detail sufficient to put the individual on notice as to the specific contents of the administrative regulation, including all proposed amendments to the administrative regulation; and
      3. A statement that a copy of the administrative regulation may be obtained from the Commission’s Web site, which can be accessed on-line through public libraries or any computer with Internet access. The Commission’s Web site address shall be included in the statement.
    5. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to persons who have registered pursuant to paragraph (a) of this subsection, unless the person requested a copy pursuant to KRS 13A.280 (8).
    1. If small business may be impacted by an administrative regulation, the administrative body shall e-mail a copy of the administrative regulation as filed, and all attachments required by KRS 13A.230(1), to the chief executive officer of the Commission on Small Business Innovation and Advocacy within one (1) working day after the date the administrative regulation is filed with the Commission.
    2. The e-mail shall include a request from the administrative body that the Commission on Small Business Innovation and Advocacy review the administrative regulation in accordance with KRS 11.202(1)(e) and submit its report or comments in accordance with the deadline established in subsection (1)(c) of this section. A copy of the report shall be filed with the regulations compiler.
    3. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to the Commission on Small Business Innovation and Advocacy, unless its chief executive officer requested a copy pursuant to KRS 13A.280 (8).
    1. If a local government may be impacted by an administrative regulation, the administrative body shall send, by e-mail if the local government has an e-mail address, a copy of the administrative regulation as filed and all attachments required by KRS 13A.230(1) to each local government in the state within one (1) working day after the date the administrative regulation is filed with the Commission. If the local government does not have an e-mail address, the material shall not be sent.
    2. The e-mail shall include a request from the administrative body that the local government review the administrative regulation in the same manner as would the Commission on Small Business Innovation and Advocacy under KRS 11.202(1)(e), and submit its report or comments in accordance with the deadline established in subsection (1)(c) of this section. A copy of the report or comments shall be filed with the regulations compiler.
    3. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to a local government, unless its contact person requested a copy pursuant to KRS 13A.280 (8).
  2. Persons desiring to be heard at the hearing shall notify the administrative body in writing as to their desire to appear and testify at the hearing not less than five (5) workdays before the scheduled date of the hearing.
  3. The administrative body shall immediately notify the regulations compiler by letter if:
    1. No written notice of intent to attend the public hearing is received by the administrative body at least five (5) workdays before the scheduled hearing, and it chooses to cancel the public hearing; and
    2. No written comments have been received by the close of the last day of the public comment period.
      1. Upon receipt from interested persons of their intent to attend a public hearing, the administrative body shall notify the regulations compiler by letter that the public hearing shall be held. (8) (a) 1. Upon receipt from interested persons of their intent to attend a public hearing, the administrative body shall notify the regulations compiler by letter that the public hearing shall be held.
      2. If the public hearing is held but no comments are received during the hearing, the administrative body shall notify the regulations compiler by letter that the public hearing was held and that no comments were received.
    1. Upon receipt of written comments, the administrative body shall notify the regulations compiler by letter that written comments have been received.
  4. If the notifications required by subsections (7) and (8) of this section are not received by the regulations compiler by close of business on the second workday of the calendar month following the end of the public comment period, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee.
  5. The notifications required by subsections (7) and (8) of this section shall be made by letter. The letter may be sent by e-mail if the administrative body uses an electronic signature and letterhead for the e-mailed document.
  6. Every hearing shall be conducted in such a manner as to guarantee each person who wishes to offer comment a fair and reasonable opportunity to do so, whether or not such person has given the notice contemplated by subsection (6) of this section. No transcript need be taken of the hearing, unless a written request for a transcript is made, in which case the person requesting the transcript shall have the responsibility of paying for same. A recording may be made in lieu of a transcript under the same terms and conditions as a transcript. This section shall not preclude an administrative body from making a transcript or making a recording if it so desires.
  7. Nothing in this section shall be construed as requiring a separate hearing on each administrative regulation. Administrative regulations may be grouped at the convenience of the administrative body for purposes of hearings required by this section.

HISTORY: Enact. Acts 1984, ch. 417, § 27, effective April 13, 1984; 1988, ch. 425; § 9, effective July 15, 1988; 1994, ch. 410, § 19, effective July 15, 1994; 1996, ch. 180, § 11, effective July 15, 1996; 2003, ch. 89, § 13, effective June 24, 2003; 2004, ch. 165, § 5, effective July 13, 2004; 2005, ch. 100, § 15, effective June 20, 2005; 2006, ch. 166, § 3, effective July 12, 2006; 2012, ch. 138, § 11, effective July 12, 2012; 2016 ch. 82, § 24, effective July 15, 2016; 2021 ch. 7, § 9, effective February 2, 2021; 2021 ch. 185, § 98, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 7 and 185, which do not appear to be in conflict and have been codified together.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

(7/13/2004). In subsection (1)(a) of this statute, a reference to “subsection (5) of this section” has been changed to read “subsection (7) of this section.” When the statute was amended in 2004 Ky. Acts ch. 165, sec. 5, the subsections were renumbered, but the reference to subsection (5) was not changed to conform. The Reviser of Statutes has made the conforming change under the authority of KRS 7.136 .

13A.280. Statement of consideration — Amendment — Format — Information required — Publication.

  1. Following the last day of the comment period, the administrative body shall give consideration to all comments received at the public hearing and all written comments received during the comment period, including:
    1. Any report filed by the Commission on Small Business Innovation and Advocacy in accordance with KRS 11.202(1)(e) and 13A.270(4), or by a local government in accordance with KRS 11.202(1)(e) and 13A.270(5); and
    2. Any comments regarding the administrative regulation’s major economic impact, as defined in KRS 13A.010 , as submitted by agencies, local governments, or regulated entities.
    1. Except as provided in paragraph (b) of this subsection, the administrative body shall file with the commission on or before 12 noon, eastern time, on the fifteenth day of the calendar month following the end of the public comment period the statement of consideration relating to the administrative regulation and, if applicable, the amended after comments version.
    2. If the administrative body has received a significant number of public comments:
      1. It may extend the time for filing the statement of consideration for an ordinary administrative regulation and, if applicable, the amended after comments version by notifying the regulations compiler in writing on or before 12 noon, eastern time, on the fifteenth day of the calendar month following the end of the public comment period; and
      2. The administrative body shall file the statement of consideration for an ordinary administrative regulation and, if applicable, the amended after comments version, with the Commission on or before 12 noon, eastern time, no later than the fifteenth day of the second calendar month following the end of the public comment period.
    1. If the administrative regulation is amended as a result of the hearing or written comments received, the administrative body shall forward the items specified in this paragraph to the regulations compiler by 12 noon, eastern time, on the applicable deadline specified in subsection (2) of this section:
      1. The original and five (5) copies of the administrative regulation indicating any amendments resulting from comments received at the public hearing and during the comment period. The amendments shall be indicated in:
        1. The original wording for an ordinary administrative regulation; or
        2. The wording of an emergency administrative regulation as amended, for an emergency administrative regulation that was amended at a legislative committee meeting pursuant to KRS 13A.190(3);
      2. The original and five (5) copies of the statement of consideration as required by subsection (2) of this section, attached to the back of the original and each copy of the administrative regulation; and
      3. The regulatory impact analysis, tiering statement, federal mandate comparison, or fiscal note on local government. These documents shall reflect changes resulting from amendments made after the public hearing.
    2. The original and four (4) copies of the amended after comments version, the statement of consideration, and the attachments required by paragraph (a)3. of this subsection shall be stapled in the top left corner. The fifth copy shall not be stapled.
    3. At the same time as, or prior to, filing the paper version, the administrative body shall file an electronic version of the amended after comments version, the statement of consideration, and the required attachments saved as a single document for each amended after comments administrative regulation in an electronic format approved by the regulations compiler.
    1. If the administrative regulation is not amended as a result of the public hearing, or written comments received, the administrative body shall file the original and five (5) copies of the statement of consideration with the regulations compiler by 12 noon, eastern time, on the deadline established in subsection (2) of this section. The original and four (4) copies of the statement of consideration shall be stapled in the top left corner. The fifth copy of each statement of consideration shall not be stapled.
    2. If the statement of consideration covers multiple administrative regulations, as authorized by subsection (6)(g)1. of this section, the administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of the statement of consideration as required by paragraph (a) of this subsection; and
      2. Two (2) additional unstapled copies of the statement of consideration for each additional administrative regulation included in the group of administrative regulations.
    3. At the same time as, or prior to, filing the paper version, the administrative body shall file an electronic version of the statement of consideration saved as a single document for each statement of consideration in an electronic format approved by the regulations compiler.
  2. If comments are received either at the public hearing or during the public comment period, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee following the month in which the statement of consideration is due.
  3. The format for the statement of consideration shall be as follows:
    1. The statement shall be typewritten on white paper, size eight and one-half (8-1/2) by eleven (11) inches. Copies of the statement may be mechanically reproduced;
    2. The first page of the statement of consideration shall have a two (2) inch top margin;
    3. The heading of the statement shall consist of the words “STATEMENT OF CONSIDERATION RELATING TO” followed by the number of the administrative regulation that was the subject of the public hearing and comment period and the name of the promulgating administrative body. The heading shall be centered. This shall be followed by the words “Not Amended After Comments,” “Emergency Not Amended After Comments,” “Amended After Comments,” or “Emergency Amended After Comments,” whichever is applicable;
    4. If a hearing has been held or written comments received, the heading is to be followed by:
      1. A statement setting out the date, time and place of the hearing, if the hearing was held;
      2. A list of those persons who attended the hearing or who submitted comments and the organization, agency, or other entity represented, if applicable; and
      3. The name and title of the representative of the promulgating administrative body;
    5. Following the general information, the promulgating administrative body shall summarize the comments received at the public hearing and during the comment period and the response of the promulgating administrative body. Each subject commented upon shall be summarized in a separate numbered paragraph. Each numbered paragraph shall contain two (2) subsections:
      1. Subsection (a) shall be labeled “Comment,” shall identify the name of the person, and the organization represented if applicable, who made the comment, and shall contain a summary of the comment; and
      2. Subsection (b) shall be labeled “Response” and shall contain the response to the comment by the promulgating administrative body;
    6. Following the summary and comments, the promulgating administrative body shall:
      1. Summarize the statement and the action taken by the administrative body as a result of comments received at the public hearing and during the comment period; and
      2. If amended after the comment period, list the changes made to the administrative regulation in the format prescribed by KRS 13A.320(2)(c) and (d); and
      1. If administrative regulations were considered as a group at a public hearing, one (1) statement of consideration may include the group of administrative regulations. If a comment relates to one (1) or more of the administrative regulations in the group, the summary of the comment and response shall specify each administrative regulation to which it applies.
      2. Emergency administrative regulations shall be in a separate statement of consideration from ordinary administrative regulations.
  4. If the administrative regulation is amended pursuant to subsection (3) of this section, the full text of the administrative regulation shall be published in the Administrative Register. The changes made to the administrative regulation shall be typed in bold and made in the format prescribed by KRS 13A.222(2). The administrative regulation shall be reviewed by the Administrative Regulation Review Subcommittee after such publication.
  5. If requested, copies of the statement of consideration and, if applicable, the amended after comments version of the administrative regulation shall be made available by the promulgating administrative body to persons attending the hearing or submitting comments or who specifically request a copy from the administrative body.

HISTORY: Enact. Acts 1984, ch. 417, § 28, effective April 13, 1984; 1988, ch. 425, § 10, effective July 15, 1988; 1990, ch. 516, § 26, effective July 13, 1990; 1994, ch. 410, § 20, effective July 15, 1994; 1996, ch. 180, § 12, effective July 15, 1996; 1998, ch. 38, § 6, effective July 15, 1998; 2000, ch. 406, § 15, effective July 14, 2000; 2003, ch. 89, § 14, effective June 24, 2003; 2004, ch. 165, § 6, effective July 13, 2004; 2005, ch. 100, § 16, effective June 20, 2005; 2012, ch. 138, § 12, effective July 12, 2012; 2016 ch. 82, § 25, effective July 15, 2016; 2019 ch. 192, § 6, effective June 27, 2019; 2021 ch. 7, § 10, effective February 2, 2021; 2021 ch. 185, § 99, effective June 29, 2021; 2022 ch. 207, § 3, effective July 14, 2022.

Legislative Research Commission Notes.

(4/14/2022). This statute was amended by 2022 Ky. Acts ch. 207, sec. 3. Under Section 5 of that Act, the Act shall be known and may be cited as the Kentucky REINS Act, or the Kentucky Regulations from the Executive in Need of Scrutiny Act.

Opinions of Attorney General.

The Environmental Quality Commission could amend a regulation at an Administrative Review Subcommittee meeting without filing a revised statement of consideration and publishing such changes pursuant to this section where the amendments were subsequently published in the administrative register; the changes in the regulation complied with KRS 13A.320 and were properly amended. OAG 87-6 .

13A.290. Review by Administrative Regulation Review Subcommittee — Review by legislative committee.

    1. Except as provided by KRS 158.6471 and 158.6472 , the Administrative Regulation Review Subcommittee shall meet monthly to review administrative regulations prior to close of business on the fifteenth day of the calendar month.
    2. The agenda shall:
      1. Include each administrative regulation that completed the public comment process;
      2. Include each administrative regulation for which a statement of consideration was received on or before 12 noon, eastern time, on the fifteenth day of the prior calendar month;
      3. Include each effective administrative regulation that the subcommittee has decided to review;
      4. Include each administrative regulation that was deferred from the prior month’s meeting of the subcommittee; and
      5. Not include an administrative regulation that is deferred, withdrawn, expired, or automatically taken off the agenda under the provisions of this chapter.
    3. Review of an administrative regulation shall include the entire administrative regulation and all attachments filed with the administrative regulation. The review of amendments to existing administrative regulations shall not be limited to only the changes proposed by the promulgating administrative body.
  1. The meetings shall be open to the public.
  2. Public notice of the time, date, and place of the Administrative Regulation Review Subcommittee meeting shall be given in the Administrative Register.
    1. A representative of the administrative body for an administrative regulation under consideration shall be present to explain the administrative regulation and to answer questions thereon.
    2. If a representative of the administrative body with authority to amend a filed administrative regulation is not present at the subcommittee meeting, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee.
    3. If a representative of an administrative body for an effective administrative regulation fails to appear before the subcommittee, the subcommittee may:
      1. Defer the administrative regulation to the next regularly scheduled meeting of the subcommittee; or
      2. Make a determination pursuant to KRS 13A.030(2), (3), and (4) or 13A.190(3).
  3. Following the meeting and before the next regularly scheduled meeting of the Commission, the Administrative Regulation Review Subcommittee shall forward to the Commission its findings, recommendations, or other comments it deems appropriate in writing. The Administrative Regulation Review Subcommittee shall also forward to the Commission its findings, recommendations, or other comments it deems appropriate on an effective administrative regulation it has reviewed. The Administrative Regulation Review Subcommittee’s findings shall be published in the Administrative Register.
    1. After review by the Administrative Regulation Review Subcommittee, the Commission shall, on the first Wednesday of the following month, or if the first Wednesday is a legal holiday, the next workday of the month, assign a filed administrative regulation to a legislative committee with subject matter jurisdiction.
    2. Upon notification of the assignment by the Commission, the legislative committee to which the administrative regulation is assigned shall notify the regulations compiler:
      1. Of the date, time, and place of the meeting at which it will consider the administrative regulation; or
      2. That it will not meet to consider the administrative regulation.
    1. Within ninety (90) days of the assignment, the legislative committee may hold a public meeting during which the administrative regulation shall be reviewed.
    2. If the ninetieth day of the assignment falls on a Saturday, Sunday, or holiday, the deadline for review shall be the workday following the Saturday, Sunday, or holiday.
      1. If the administrative regulation is assigned to an interim joint committee and a session of the General Assembly begins during the review period, the assignment shall transfer to the Senate and House standing committees with subject matter jurisdiction.
      2. If the administrative regulation is assigned to Senate and House standing committees and a session of the General Assembly adjourns sine die during the review period, the assignment shall transfer to the interim joint committee with subject matter jurisdiction.
      3. An administrative regulation may be transferred more than one (1) time under this paragraph. A transfer shall not extend the review period established by this subsection.
    3. Notice of the time, date, and place of the meeting shall be placed in the legislative calendar.
  4. Except as provided in subsection (9) of this section, a legislative committee shall be empowered to make the same determinations and to exercise the same authority as the Administrative Regulation Review Subcommittee.
    1. This subsection shall apply to administrative regulations filed with the Commission.
    2. A majority of the entire membership of the legislative committee shall constitute a quorum for purposes of reviewing administrative regulations.
    3. In order to amend an administrative regulation pursuant to KRS 13A.320 , defer an administrative regulation pursuant to KRS 13A.300 , or find an administrative regulation deficient pursuant to KRS 13A.030(2), (3), or (4), or 13A.190(3), the motion to amend, defer, or find deficient shall be approved by a majority of the entire membership of the legislative committee. Additionally, during a session of the General Assembly, standing committees of the Senate and House of Representatives shall agree in order to amend an administrative regulation, defer an administrative regulation, or find an administrative regulation deficient by:
      1. Meeting separately; or
      2. Meeting jointly. If the standing committees meet jointly, it shall require a majority vote of Senate members voting and a majority of House members voting, as well as the majority vote of the entire membership of the standing committees meeting jointly, in order to take action on the administrative regulation.
    1. The quorum requirements of subsection (9)(b) of this section shall apply to an effective administrative regulation under review by a legislative committee.
    2. A motion to find an effective administrative regulation deficient shall be approved by:
      1. A majority of the entire membership of the Administrative Regulation Review Subcommittee; or
      2. A legislative committee in accordance with subsection (9)(c) of this section.
    1. Upon adjournment of the meeting at which a legislative committee has considered an administrative regulation pursuant to subsection (7) or (10) of this section, the legislative committee shall inform the regulations compiler of its findings, recommendations, or other action taken on the administrative regulation.
    2. Following the meeting and before the next regularly scheduled meeting of the Commission, the legislative committee shall forward to the Commission its findings, recommendations, or other comments it deems appropriate in writing. The legislative committee’s findings shall be published in the Administrative Register.

History. Enact. Acts 1984, ch. 417, § 29, effective April 13, 1984; 1988, ch. 71, § 2, effective July 15, 1988; 1988, ch. 425, § 11, effective July 15, 1988; 1990, ch. 516, § 27, effective July 13, 1990; 1994, ch. 410, § 21, effective July 15, 1994; 1996, ch. 180, § 13, effective July 15, 1996; 1998, ch. 598, § 8, effective April 14, 1998; 2000, ch. 406, § 16, effective July 14, 2000; 2003, ch. 89, § 15, effective June 24, 2003; 2005, ch. 100, § 17, effective June 20, 2005; 2016 ch. 82, § 26, effective July 15, 2016; 2019 ch. 192, § 7, effective June 27, 2019; 2021 ch. 7, § 11, effective February 2, 2021.

13A.300. Request by promulgating administrative body to defer consideration of administrative regulation — Consideration of deferred administrative regulation — Limitation on number of deferrals — Failure of representative of administrative body to appear before legislative committee.

  1. The administrative body that promulgated an administrative regulation may request that consideration of the administrative regulation be deferred by a legislative committee.
  2. The deferral of an administrative regulation scheduled for review by the Administrative Regulation Review Subcommittee shall be governed by KRS 13A.020(4) and the following:
    1. A request for deferral of an ordinary administrative regulation filed with the Commission shall be automatically granted if:
      1. The administrative body submits a written letter to the regulations compiler; and
      2. The letter is received prior to the subcommittee meeting;
    2. A request for deferral of an effective administrative regulation or an emergency administrative regulation may be granted if:
      1. The administrative body submits a written letter to the regulations compiler;
      2. The letter is received prior to the subcommittee meeting; and
      3. Approved by the co-chairs of the Administrative Regulation Review Subcommittee;
    3. A request for deferral may be granted at the discretion of the subcommittee if the request is made by the administrative body orally at a meeting of the subcommittee;
    4. The subcommittee may request that consideration of an administrative regulation be deferred by the promulgating administrative body. Upon receipt of the request, the promulgating administrative body may agree to defer consideration of the administrative regulation;
    5. Except as provided in paragraph (f) of this subsection, an administrative regulation that has been deferred shall be placed on the agenda of the next scheduled meeting of the subcommittee. If it is an administrative regulation filed with the Commission, the subcommittee shall consider the administrative regulation as if it had met all other requirements of filing. Repromulgation shall not be required in those cases; and
    6. An administrative regulation shall not be deferred under this subsection more than twelve (12) times.
    1. The deferral of a filed ordinary administrative regulation referred to a second legislative committee or committees pursuant to KRS 13A.290(6) and (7) shall be governed by this subsection and the voting requirements of KRS 13A.290(9).
      1. A request for deferral shall be automatically granted if:
        1. The administrative body submits a written letter to the regulations compiler; and
        2. The letter is received prior to the legislative committee meeting;
      2. A request for deferral may be granted at the discretion of the second legislative committee if the request is made by the administrative body orally at a meeting of the legislative committee; and
      3. The legislative committee may request that consideration of an administrative regulation be deferred by the promulgating administrative body. Upon receipt of the request, the promulgating administrative body may agree to defer consideration of the administrative regulation.
      1. An administrative regulation that is deferred may be placed on a subsequent agenda of the legislative committee or committees within the review period.
      2. If a filed ordinary administrative regulation that has been deferred is not placed on a subsequent agenda within the review period, the administrative regulation shall take effect at the expiration of the review period.
    1. The deferral of an effective administrative regulation or an emergency administrative regulation under review by a legislative committee shall be governed by this subsection and the voting requirements of KRS 13A.290(9).
    2. A request for deferral may be granted if:
      1. The administrative body submits a written letter to the regulations compiler;
      2. The letter is received prior to the legislative committee meeting; and
      3. Approved by the presiding chair or chairs.
    3. A request for deferral may be granted at the discretion of the legislative committee if the request is made by the administrative body orally at a meeting of the legislative committee.
    4. The legislative committee may request that consideration of an administrative regulation be deferred by the administrative body. Upon receipt of the request, the administrative body may agree to defer consideration of the administrative regulation.
    5. An administrative regulation that is deferred may be placed on a subsequent agenda of the legislative committee.
  3. Except as provided by KRS 13A.290(4), if a representative of an administrative body whose administrative regulation is scheduled for review fails to appear before a legislative committee, the legislative committee in conformance with KRS 13A.290(9) may:
    1. Defer the administrative regulation to the next regularly scheduled meeting of the legislative committee; or
    2. Make a determination pursuant to KRS 13A.030(2) or 13A.190(3).

History. Enact. Acts 1984, ch. 417, § 30, effective April 13, 1984; 1988, ch. 71, § 3, effective March 16, 1988; 1988, ch. 425, § 13, effective July 15, 1988; 1990, ch. 516, § 28, effective July 13, 1990; 1994, ch. 410, § 22, effective July 15, 1994; 1996, ch. 180, § 14, effective July 15, 1996; 2000, ch. 406, § 17, effective July 14, 2000; 2003, ch. 89, § 16, effective June 24, 2003; 2005, ch. 100, § 18, effective June 20, 2005; 2012, ch. 138, § 13, effective July 12, 2012; 2016 ch. 82, § 27, effective July 15, 2016; 2019 ch. 192, § 8, effective June 27, 2019; 2021 ch. 7, § 12, effective February 2, 2021.

Legislative Research Commission Notes.

(2/2/2021). In codification, a correction has been made to subsection (5)(b) of this statute. 2021 Senate Bill 2, Section 12, which amended this statute, contained a reference in subsection (5)(b) to “Section 4(2) of this Act,” which would have been codified as “KRS 13A.190(2).” However, it is clear from the context and from consultation with the drafter that the reference was intended to read “Section 4(3) of this Act,” which would be codified as “KRS 13A.190(3).” Under the authority of KRS 7.136 , the Reviser of Statutes has corrected this reference.

(6/27/2019). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering of this statute from the way it appeared in 2019 Ky. Acts ch. 192, sec. 8.

(7/15/2016). During codification of 2016 Ky. Acts ch. 82, sec. 27, the Reviser of Statutes corrected a manifest clerical or typographical error in references in subsection (3)(c) and (d) of this statute to “subsection (6)(b)1.” and “subsection (6)(b)2.”, respectively, of Section 26 of that Act, which was KRS 13A.290 . The correct references should have been to “subsection (6)(a)1.” and “subsection (6)(a)2.”, respectively, of KRS 13A.290 and are reflected that way in this statute.

13A.310. Repeal or permissive withdrawal of administrative regulation.

  1. Except as provided in KRS 13A.3102 and 13A.3104 , an ordinary administrative regulation, once adopted, cannot be withdrawn but shall be repealed if it is desired that it no longer be effective.
  2. Except as provided in KRS 13A.3102 and 13A.3104 , an ordinary administrative regulation, once adopted, cannot be suspended but shall be repealed if it is desired to suspend its effect.
    1. An ordinary administrative regulation shall be repealed only by the promulgation of an administrative regulation that:
      1. Is titled “Repeal of (state number of administrative regulation to be repealed)”;
      2. Contains the reasons for repeal in the “NECESSITY, FUNCTION, AND CONFORMITY” paragraph;
      3. Includes in the body of the administrative regulation, a citation to the number and title of the administrative regulation or regulations being repealed; and
      4. Meets the filing and formatting requirements of KRS 13A.220 .
      1. Except as provided in subparagraph 2. of this paragraph, on the effective date of an administrative regulation that repeals an administrative regulation, determined in accordance with KRS 13A.330 or 13A.331 , the regulations compiler shall delete the repealed administrative regulation and the repealing administrative regulation from the Kentucky Administrative Regulations Service.
      2. If the repealing administrative regulation specifies an effective date that is after the administrative regulation would become effective pursuant to KRS 13A.330 or 13A.331 , the specified effective date shall be considered the effective date of the repealing administrative regulation. On the specified effective date, the regulations compiler shall delete the repealed administrative regulation and the repealing administrative regulation from the Kentucky Administrative Regulations Service.
    2. An administrative body may repeal more than one (1) administrative regulation in an administrative regulation promulgated pursuant to paragraph (a) of this subsection if the administrative regulations being repealed are contained in the same chapter of the Kentucky Administrative Regulations Service.
    1. An ordinary administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its adoption.
    2. An ordinary administrative regulation that has been found deficient may be withdrawn by the promulgating administrative body or by the Governor at any time prior to its adoption.
    3. Once an ordinary administrative regulation is withdrawn, it shall not be reinstated, except by repromulgation as a totally new matter.
    1. An emergency administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its expiration.
    2. An emergency administrative regulation that has been found deficient may be withdrawn by the promulgating administrative body or by the Governor at any time prior to its expiration.
  3. If an administrative regulation is withdrawn, the administrative body or the Governor shall inform the regulations compiler of the reasons for withdrawal in writing.

History. Enact. Acts 1984, ch. 417, § 31, effective April 13, 1984; 1988, ch. 71, § 4, effective July 15, 1988; 1990, ch. 516, § 29, effective July 13, 1990; 1994, ch. 410, § 23, effective July 15, 1994; 1996, ch. 180, § 15, effective July 15, 1996; 1998, ch. 38, § 7, effective July 15, 1998; 2000, ch. 406, § 18, effective July 14, 2000; 2005, ch. 100, § 19, effective June 20, 2005; 2016 ch. 82, § 28, effective July 15, 2016; 2017 ch. 77, § 3, effective June 29, 2017; 2019 ch. 192, § 9, effective June 27, 2019; 2021 ch. 7, § 13, effective February 2, 2021.

13A.3102. Expiration of administrative regulations.

  1. An ordinary administrative regulation with a last effective date on or after March 1, 2013, shall expire seven (7) years after its last effective date, except as provided by the certification process in KRS 13A.3104 .
  2. An ordinary administrative regulation with a last effective date before March 1, 2013, shall expire on March 1, 2020, except as provided by the certification process in KRS 13A.3104 .
  3. For all administrative regulations that expire under this section or KRS 13A.3104 , the regulations compiler shall:
    1. Delete them from the Kentucky Administrative Regulations Service;
    2. Add them to the list of ineffective administrative regulations; and
    3. Beginning on September 1, 2020, and at least once every six (6) months thereafter, publish a list of administrative regulations that have expired since the most recent previous list was published under this paragraph.
  4. Within three (3) months of June 27, 2019, and at least once every six (6) months thereafter, the regulations compiler shall publish a list of existing administrative regulations and their corresponding last effective dates.

HISTORY: 2017 ch. 77, § 4, effective June 29, 2017; 2019 ch. 192, § 10, effective June 27, 2019.

13A.3104. Certification process for avoiding expiration of administrative regulations — When regulations expire.

  1. If an administrative body does not want an administrative regulation to expire under KRS 13A.3102 , the administrative body shall, in the twelve (12) months prior to the expiration date:
    1. Review the administrative regulation in its entirety for compliance with current law governing the subject matter of the administrative regulation;
    2. File a certification letter with the regulations compiler stating whether the administrative regulation:
      1. Shall be amended because it is not in compliance with current governing law or otherwise needs amendment;
      2. Shall remain in effect without amendment because it is in compliance with current governing law; or
      3. Is in need of amendment and a proposed amendment has already been filed; and
    3. Not be required to consider KRS Chapter 13A drafting and formatting requirements as part of its review.
  2. The certification letter shall be on the administrative body’s official letterhead, in the format prescribed by the regulations compiler, and include the following information:
    1. The name of the administrative body;
    2. The number of the administrative regulation;
    3. The title of the administrative regulation;
    4. The statement required by subsection (1)(b) of this section;
    5. A brief statement in support of the decision; and
    6. The authorizing signature of the administrative body.
    1. If the certification letter was filed pursuant to subsection (1)(b)1. of this section, stating that the administrative regulation shall be amended, the administrative body shall file an amendment to the administrative regulation in accordance with KRS Chapter 13A within eighteen (18) months of the date the certification letter was filed.
    2. If the amendment was filed in accordance with paragraph (a) of this subsection:
      1. The administrative regulation shall not expire if the amendment is continuing through the administrative regulations process; or
      2. The administrative regulation shall expire on the date the amendment is withdrawn or otherwise ceases going through the administrative regulations process.
    3. Once the amendment is effective, the regulations compiler shall update the last effective date for that administrative regulation to reflect the amendment’s effective date.
    4. If the amendment was not filed in accordance with paragraph (a) of this subsection, the administrative regulation shall expire at the end of the eighteen (18) month period.
  3. If the certification letter was filed pursuant to subsection (1)(b)2. of this section, stating that the administrative regulation shall remain in effect without amendment, the regulations compiler shall:
    1. Update the administrative regulation’s history line to state that a certification letter was received; and
    2. Change the last effective date of the administrative regulation to the date the certification letter was received.
    1. If the certification letter was filed pursuant to subsection (1)(b)3. of this section, stating that a proposed amendment has already been filed:
      1. The administrative regulation shall not expire if the amendment is continuing through the administrative regulations process; or
      2. The administrative regulation shall expire on the date the amendment is withdrawn or otherwise ceases going through the administrative regulations process.
    2. Once the amendment is effective, the regulations compiler shall update the last effective date for that administrative regulation to reflect the amendment’s effective date.
  4. If filed by the deadline established in KRS 13A.050(3), the regulations compiler shall publish in the Administrative Register of Kentucky each certification letter received:
    1. In summary format; or
    2. In its entirety.

HISTORY: 2017 ch. 77, § 5, effective June 29, 2017; 2019 ch. 192, § 11, effective June 27, 2019; 2021 ch. 125, § 3, effective June 29, 2021.

13A.312. Actions required when authority over a subject matter is transferred to another administrative body or name of administrative body is changed — Return of administrative regulations to previous form if General Assembly does not confirm or codify executive order.

  1. If authority over a subject matter is transferred to another administrative body or if the name of an administrative body is changed by statute or by executive order during the interim between regular sessions of the General Assembly, the administrative regulations of that administrative body in effect on the effective date of the statutory change or the executive order shall remain in effect as they exist until the administrative body that has been granted authority over the subject matter amends or repeals the administrative regulations pursuant to KRS Chapter 13A.
  2. After receipt of a written request, submitted pursuant to subsection (3) of this section, to make changes to an administrative regulation pursuant to the statutory change or executive order, the regulations compiler shall alter the administrative regulations referenced in subsection (1) of this section to:
    1. Change the name of the administrative body pursuant to the provisions of the statute or executive order; and
    2. Make any other technical changes necessary to carry out the provisions of the statute or executive order.
  3. The administrative body that has been granted statutory authority over the subject matter shall provide to the regulations compiler in writing:
    1. A listing of the administrative regulations that require any changes; and
    2. The specific names, terms, or other information to be changed with those changes properly referenced.
  4. The administrative body that has been granted statutory authority over the subject matter shall submit new forms to replace forms previously incorporated by reference in an administrative regulation if the only changes on the form are the name and mailing address of the administrative body. If there are additional changes to a form incorporated by reference, the administrative body shall promulgate an amendment to the existing administrative regulation and make the changes to the material incorporated by reference in accordance with KRS 13A.2255 .
  5. If an administrative body is abolished by statute or executive order and the authority over its subject matter is not transferred to another administrative body, the Governor, or the secretary of the cabinet to which the administrative body was attached, shall promulgate an administrative regulation to repeal the existing administrative regulations that were promulgated by the abolished administrative body. The repeal shall be accomplished as provided by KRS 13A.310 .
  6. If an executive order transfers authority over a subject matter to another administrative body or changes the name of an administrative body during the interim between regular sessions of the General Assembly, and the General Assembly does not codify or confirm the executive order during the next regular session, any and all administrative regulations promulgated to implement the unconfirmed executive order shall be returned to their previous form by the administrative body using the promulgation procedures established by KRS Chapter 13A, including but not limited to:
    1. Withdrawal of a proposed administrative regulation;
    2. Amendment or repeal of an existing administrative regulation;
    3. Promulgation of a new administrative regulation; or
    4. Submission of technical changes in the manner established by subsections (3) and (4) of this section.

History. Enact. Acts 1996, ch. 180, § 20, effective July 15, 1996; 2004, ch. 141, § 4, effective July 13, 2004; 2016 ch. 82, § 29, effective July 15, 2016; 2021 ch. 7, § 14, effective February 2, 2021.

13A.315. Expiration and withdrawal of administrative regulation prior to review by legislative committee — Effect of noncompliance with chapter — Withdrawal of deficient administrative regulation upon Governor’s notification.

  1. An administrative regulation shall expire and shall not be reviewed by a legislative committee if:
    1. It has not been reviewed or approved by the official or administrative body with authority to review or approve;
    2. The statement of consideration and, if applicable, the amended after comments version are not filed on or before a deadline specified by this chapter;
    3. The administrative body has failed to comply with the provisions of this chapter governing the filing of administrative regulations, the public hearing and public comment period, or the statement of consideration; or
    4. The administrative regulation is deferred pursuant to KRS 13A.300(2) more than twelve (12) times.
    1. An administrative regulation that has been found deficient by a legislative committee shall be withdrawn immediately if, pursuant to KRS 13A.330 , the Governor has determined that it shall be withdrawn.
    2. The Governor shall notify the regulations compiler in writing and by telephone that he or she has determined that the administrative regulation found deficient shall be withdrawn.
    3. The written withdrawal of an administrative regulation governed by the provisions of this subsection shall be made in a letter to the regulations compiler in the following format: “Pursuant to KRS 13A.330 , I have determined that (administrative regulation number and title) shall be (withdrawn, or withdrawn and amended to conform to the finding of deficiency, as applicable). The administrative regulation, (administrative regulation number and title), is hereby withdrawn.”
    4. An administrative regulation governed by the provisions of this subsection shall be considered withdrawn upon receipt by the regulations compiler of the written withdrawal.

History. Enact. Acts 1990, ch. 516, § 1, effective July 13, 1990; 1994, ch. 410, § 24, effective July 15, 1994; 1998, ch. 350, § 1, effective July 15, 1998; 2000, ch. 406, § 24, effective July 14, 2000; 2005, ch. 100, § 20, effective June 20, 2005; 2012, ch. 138, § 14, effective July 12, 2012; 2016 ch. 82, § 30, effective July 15, 2016; 2019 ch. 192, § 12, effective June 27, 2019; 2021 ch. 7, § 15, effective February 2, 2021.

13A.320. Amendment of administrative regulation during meeting of legislative committee or public meeting — Format.

    1. An administrative body may amend an administrative regulation at a legislative committee meeting with the consent of the legislative committee. A legislative committee may amend an administrative regulation at a legislative committee meeting with the consent of the administrative body.
    2. An administrative regulation shall not be amended at a public meeting of a legislative committee unless the amendment concerns an issue that was related to the administrative regulation filed with the Legislative Research Commission and was:
      1. Considered at the public hearing;
      2. Raised pursuant to a comment received by the administrative body at the public hearing or during the public comment period pursuant to KRS 13A.280(1); or
      3. Raised during the legislative committee meeting.
    3. Nothing in this chapter shall be construed to require the administrative regulation’s resubmission or refiling or other action. The administrative regulation may be adopted as amended.
    4. Following approval of an amendment to an administrative regulation at a legislative committee meeting, the administrative regulation as amended shall be published in the Administrative Register, unless all amendments to the administrative regulation that were made at the meeting of the legislative committee:
      1. Relate only to the formatting and drafting requirements of KRS 13A.220(5) and 13A.222(4)(b), (c), (i), (j), and (l); and
      2. Do not alter the intent, meaning, conditions, standards, or other requirements of the administrative regulation.
    5. If the amendments to an administrative regulation made at a meeting of a legislative committee meet the exception requirements of paragraph (d) of this subsection, the regulations compiler shall publish a notice in the Administrative Register that the administrative regulation was amended at a legislative committee meeting only to comply with the formatting and drafting requirements of this chapter.
  1. When an administrative body intends to amend an administrative regulation at a meeting of a legislative committee, the following requirements shall be met:
    1. Amendments offered by the administrative body prior to a legislative committee meeting shall be approved by the head of the administrative body.
    2. Amendments shall be contained in a letter to the legislative committee. The letter shall:
      1. Identify the administrative body;
      2. State the number and title of the administrative regulation;
      3. Be dated;
      4. Be filed with the regulations compiler at least three (3) workdays prior to the meeting of the legislative committee if the amendments are initiated by the administrative body; and
      5. Comply with the format requirements in paragraphs (c) and (d) of this subsection if the amendments are initiated by the administrative body.
    3. On separate lines, the amendment shall be identified by the number of the:
      1. Page;
      2. Section, subsection, paragraph, subparagraph, clause, or subclause, as appropriate; and
      3. Line.
      1. If a word or phrase, whether or not underlined, is to be deleted, the amendment shall identify the word or phrase to be deleted and state that it is to be deleted. If a word or phrase is to be replaced by another word or phrase, the amendment shall specify the word or phrase that is to be deleted and shall specify the word or phrase that is to be inserted in lieu thereof.
      2. If new language is to be inserted, the amendment shall state that it is to be inserted, and the new language shall be underlined.
      3. If the amendment consists of no more than four (4) words, the words shall be placed between quotation marks. If the amendment consists of more than four (4) words, the amendment shall be indented and not placed between quotation marks.
      4. If a section, subsection, paragraph, subparagraph, clause, or subclause is to be deleted in its entirety, the amendment shall identify it and state that it is deleted in its entirety, whether or not it contains underlined or bracketed language.
  2. If an amendment is drafted by legislative committee staff on behalf of a legislative committee, the amendment shall be made:
    1. In the format required by subsection (2)(c) and (d) of this section; or
    2. By substituting the complete text of the administrative regulation, with the proposed changes made to the administrative regulation typed in bold, italicized, and in the format prescribed by KRS 13A.222(2).
  3. An amendment to an administrative regulation may be made orally at a legislative committee meeting if the requirements of subsection (1)(a) of this section are met.
  4. Except for an amendment made orally pursuant to subsection (4) of this section:
    1. For a meeting of the Administrative Regulation Review Subcommittee, an administrative body shall submit twenty (20) copies of an amendment to an administrative regulation to the regulations compiler prior to the Administrative Regulation Review Subcommittee meeting at which the amendment will be considered and, if applicable, in accordance with the deadline established in subsection (2)(b)4. of this section; or
    2. For a meeting of a legislative committee other than the Administrative Regulation Review Subcommittee, an administrative body shall contact the regulations compiler prior to the legislative committee meeting at which the amendment will be considered to find out the number of copies needed for that specific legislative committee. The original amendment and the specified number of copies shall be submitted to the regulations compiler prior to the legislative committee meeting at which the amendment will be considered and, if applicable, in accordance with the deadline established in subsection (2)(b)4. of this section.

History. Enact. Acts 1984, ch. 417, § 32, effective April 13, 1984; 1988, ch. 71, § 5, effective July 15, 1988; 1988, ch. 425, § 12, effective July 15, 1988; 1990, ch. 516, § 30, effective July 13, 1990; 1994, ch. 410, § 25, effective July 15, 1994; 1996, ch. 180, § 16, effective July 15, 1996; 1998, ch. 38, § 10, effective July 15, 1998; 2003, ch. 89, § 17, effective June 24, 2003; 2005, ch. 100, § 21, effective June 20, 2005; 2012, ch. 138, § 15, effective July 12, 2012; 2016 ch. 82, § 31, effective July 15, 2016; 2021 ch. 7, § 16, effective February 2, 2021.

Opinions of Attorney General.

The Environmental Quality Commission could amend a regulation at an Administrative Review Subcommittee meeting without filing a revised statement of consideration and publishing such changes pursuant to KRS 13A.280 where the amendments were subsequently published in the administrative register; the changes in the regulation complied with this section and were properly amended. OAG 87-6 .

13A.330. Notification of finding of deficiency — Governor’s determination after finding of deficiency.

    1. If a filed ordinary administrative regulation has been found deficient, the legislative committee shall transmit to the Governor and the regulations compiler:
      1. A copy of the finding of deficiency and other relevant findings, recommendations, or comments; and
      2. A request that the Governor determine whether the administrative regulation shall:
        1. Be withdrawn;
        2. Be amended at a legislative committee meeting pursuant to KRS 13A.320 to conform to the finding of deficiency; or
        3. Become effective pursuant to the provisions of this section notwithstanding the finding of deficiency.
    2. The Governor shall transmit his or her determination to the Commission and the regulations compiler.
    3. A filed ordinary administrative regulation that has been found deficient shall be considered as adopted and become effective after:
        1. The review period established in this chapter has been completed; and
        2. The regulations compiler has received the Governor’s determination that the administrative regulation shall become effective pursuant to the provisions of this section notwithstanding the finding of deficiency; or
      1. The legislative committee that found the filed administrative regulation deficient subsequently determines that it is not deficient in accordance with KRS 13A.335 , provided that this determination was made prior to receipt by the regulations compiler of the Governor’s determination.
    1. If an emergency administrative regulation has been found deficient, the legislative committee finding it deficient shall transmit to the Governor and the regulations compiler:
      1. A copy of the finding of deficiency and other relevant findings, recommendations, or comments; and
      2. A request that the Governor determine whether the emergency administrative regulation shall:
        1. Be withdrawn;
        2. Be amended at a legislative committee meeting pursuant to KRS 13A.320 to conform to the finding of deficiency; or
        3. Remain effective as established in KRS 13A.190(4) notwithstanding the finding of deficiency.
    2. The Governor shall transmit his or her determination to the Commission and the regulations compiler.
    3. The legislative committee that found the emergency administrative regulation deficient may subsequently determine that it is not deficient in accordance with KRS 13A.335 .
  1. If an effective ordinary administrative regulation has been found deficient by a legislative committee, the legislative committee shall transmit to the Governor a copy of its finding of deficiency and other findings, recommendations, or comments it deems appropriate.

History. Enact. Acts 1984, ch. 417, § 33, effective April 13, 1984; 1988, ch. 71, § 6, effective July 15, 1988; 1990, ch. 516, § 31, effective July 13, 1990; 1994, ch. 410, § 26, effective July 15, 1994; 1996, ch. 180, § 17, effective July 15, 1996; 1996, ch. 269, § 1, effective July 15, 1996; 1998, ch. 38, § 8, effective July 15, 1998; 1998, ch. 350, § 2, effective July 15, 1998; 2000, ch. 406, § 19, effective July 14, 2000; 2005, ch. 100, § 22, effective June 20, 2005; 2019 ch. 192, § 13, effective June 27, 2019; 2021 ch. 7, § 17, effective February 2, 2021.

NOTES TO DECISIONS

Cited in:

Cameron v. Beshear, 628 S.W.3d 61, 2021 Ky. LEXIS 240 ( Ky. 2021 ).

13A.331. Adoption and effective date of ordinary administrative regulation that has been referred to a legislative committee.

A filed ordinary administrative regulation that has not been deferred or found deficient and has been referred by the Commission to a legislative committee shall be considered as adopted and shall become effective:

  1. Upon adjournment of a meeting of a legislative committee other than the subcommittee if:
    1. The administrative regulation was on the meeting agenda; and
    2. A quorum was present;
  2. Upon adjournment of a meeting of a House or Senate standing committee if:
    1. The administrative regulation was on its meeting agenda;
    2. A quorum was present; and
    3. The administrative regulation has previously been on a meeting agenda of the other standing committee when a quorum was present; or
  3. At the expiration of the review period established in KRS 13A.290(7), if within the review period a legislative committee has failed to meet or failed to place a filed administrative regulation on a meeting agenda.

History. Enact. Acts 2000, ch. 406, § 22, effective July 14, 2000; 2019 ch. 192, § 14, effective June 27, 2019; 2021 ch. 7, § 18, effective February 2, 2021.

13A.333. Expiration of deficient regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 4, effective July 13, 1990; 1996, ch. 180, § 18, effective July 15, 1996; 2000, ch. 406, § 20, effective July 14, 2000) was repealed by Acts 2003, ch. 185, § 12, effective March 31, 2003.

13A.335. Reasons administrative regulation found deficient shall not be considered deficient — Notice.

    1. A filed administrative regulation found deficient by a legislative committee shall not be considered deficient if:
      1. A subsequent amendment of that administrative regulation is filed with the Commission by the administrative body;
      2. The legislative committee that found the administrative regulation deficient approves a motion that the subsequent amendment corrects the deficiency; and
      3. Any legislative committee that reviews the administrative regulation under the provisions of KRS Chapter 13A finds that the administrative regulation is not deficient.
    2. A filed administrative regulation found deficient by the Administrative Regulation Review Subcommittee shall not be considered deficient if:
      1. The administrative regulation is amended to correct the deficiency at a meeting of the legislative committee to which it was assigned by the Commission;
      2. That legislative committee does not determine that the administrative regulation is deficient for any other reason; and
      3. The Administrative Regulation Review Subcommittee approves a motion that the deficiency has been corrected and that the administrative regulation should not be considered deficient.
    3. A filed administrative regulation found deficient by a legislative committee with subject matter jurisdiction shall not be considered deficient if the legislative committee:
      1. Reconsiders the administrative regulation and its finding of deficiency; and
      2. Approves a motion that the administrative regulation is not deficient.
    4. If an amendment to an effective administrative regulation is going through the KRS Chapter 13A promulgation process and is found deficient by a legislative committee, the administrative regulation shall not be considered deficient if the:
      1. Administrative regulation was found deficient due to the amendment;
      2. Promulgating administrative body has withdrawn the proposed amendment of the existing administrative regulation; and
      3. Regulations compiler has not received the Governor’s determination pursuant to KRS 13A.330 .
  1. If an effective administrative regulation is found deficient by a legislative committee, the administrative regulation shall not be considered deficient if the subcommittee:
    1. Reconsiders the administrative regulation and its finding of deficiency; and
    2. Approves a motion that the administrative regulation is not deficient.
    1. If an administrative regulation has been found deficient by a legislative committee, the regulations compiler shall add the following notice to the administrative regulation: “This administrative regulation was found deficient by the [name of legislative committee] on [date].” This notice shall be the last section of the administrative regulation.
    2. If an administrative regulation has been found deficient by a legislative committee, subsequent amendments of that administrative regulation filed with the Commission shall contain the notice provided in paragraph (a) of this subsection.
    3. If an administrative regulation that has been found deficient by a legislative committee has subsequently been determined not to be deficient under the provisions of this section, the regulations compiler shall delete the notice required by paragraph (a) of this subsection.

History. Enact. Acts 1990, ch. 516, § 5, effective July 13, 1990; 1996, ch. 180, § 19, effective July 15, 1996; 1998, ch. 350, § 3, effective July 15, 1998; 2000, ch. 406, § 21, effective July 14, 2000; 2005, ch. 100, § 23, effective June 20, 2005; 2019 ch. 192, § 15, effective June 27, 2019; 2021 ch. 7, § 19, effective February 2, 2021.

13A.336. Annual report on administrative regulations found deficient — Contents.

    1. After the last regularly scheduled meeting of the Administrative Regulation Review Subcommittee in a calendar year, but by the thirty-first day of December of that calendar year, the staff of the Administrative Regulation Review Subcommittee shall submit a report to the co-chairs of that subcommittee regarding administrative regulations that were found deficient by any legislative committee of the Commission during that calendar year.
    2. The report in paragraph (a) of this subsection shall contain:
      1. Effective administrative regulations that were found deficient; and
      2. Administrative regulations filed with the Commission that were found deficient.
  1. The report shall not contain any administrative regulation that was found deficient and:
    1. Has been withdrawn; or
    2. Is no longer considered deficient under KRS 13A.335 .
  2. The report shall contain at least the following information for each administrative regulation in the report:
    1. Administrative regulation number and title;
    2. Name of the promulgating agency;
    3. Date of deficiency determination;
    4. Name of the legislative committee that made the deficiency determination;
    5. Effective date, if it is in effect;
    6. The finding of deficiency and any other findings, recommendations, or comments sent to the Governor; and
    7. If applicable under KRS 13A.330 , the Governor’s determination regarding the deficiency, if received by the Commission.
  3. The first page of the report required by subsection (1) of this section shall contain the following text, in fourteen (14) point font or larger:

    “To ratify the deficiency findings listed in this report, a co-chair or other legislator may request that Legislative Research Commission staff prepare a bill:

    1. Declaring that one (1) or more administrative regulations listed in the report shall be void; or
    2. Amending the relevant subject matter statutes in conformity with the findings of deficiency.”

HISTORY: 2019 ch. 192, § 1, effective June 27, 2019; 2021 ch. 7, § 20, effective February 2, 2021.

13A.337. Legislative finding — Certain administrative regulations void — Prohibition against promulgating substantially similar regulations — Judicial review.

  1. The General Assembly finds that certain administrative regulations, as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient on or after July 15, 1988, and either expired prior to or upon adjournment of the 2001 General Assembly, or were scheduled to expire upon adjournment of the 2002 Regular Session of the General Assembly, under the provisions of KRS Chapter 13A as existing before the issuance of the Opinion and Order of the Franklin Circuit Court in Patton v. Sherman et al., Civil Action No. 01-CI-00660, entered January 11, 2002.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulations identified in subsection (1) of this section shall be null, void, and unenforceable, as follows:
    1. Those administrative regulations identified in subsection (1) of this section which expired prior to or upon adjournment of the 2001 Regular Session of the General Assembly under the provisions of KRS Chapter 13A existing before the issuance of the court order referenced in subsection (1) of this section shall be null, void, and unenforceable as of their recorded date of expiration, according to the records of the Legislative Research Commission. Administrative bodies and regulated persons and entities have relied on the assumption that these administrative regulations have previously expired; therefore, this subsection shall have the retroactive effect necessary to implement its provisions; and
    2. Those administrative regulations identified in subsection (1) of this section due to expire upon adjournment of the 2002 Regular Session of the General Assembly, under the provisions of KRS Chapter 13A existing before the issuance of the court order referenced in subsection (1) of this section, shall be null, void, and unenforceable on March 27, 2002.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, an administrative body shall be prohibited from promulgating an administrative regulation that is identical to or substantially the same as any administrative regulation identified in subsection (1) of this section for a period beginning on January 11, 2002, and concluding upon adjournment of the 2003 Regular Session of the General Assembly. This subsection shall have the retroactive effect necessary to implement its provisions.
  4. The Legislative Research Commission may file an action in the Franklin Circuit Court for judicial review to determine if any administrative regulation is lawfully promulgated in accordance with the laws and Constitution of the Commonwealth of Kentucky.

History. Enact. Acts 2002, ch. 76, § 1, effective March 27, 2002.

13A.338. Legislative finding — Certain administrative regulations void — Prohibition against promulgating substantially similar regulations within specified time.

  1. The General Assembly finds that certain administrative regulations as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient but became effective notwithstanding the finding of deficiency, pursuant to KRS 13A.330 , on or after March 27, 2002, and before March 16, 2004.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, each administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of March 16, 2004.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, any of the administrative regulations referenced in subsection (1) of this section for a period beginning on March 16, 2004, and concluding on June 1, 2005.
  4. A list of the administrative regulations referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

History. Enact. Acts 2004, ch. 11, § 1, effective March 16, 2004; 2021 ch. 7, § 21, effective February 2, 2021.

13A.339. Unenforceability of certain administrative regulations that became effective notwithstanding finding of deficiency.

  1. The General Assembly finds that certain administrative regulations as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient but became effective notwithstanding the finding of deficiency, pursuant to KRS 13A.330 , on or after April 15, 2020, and before January 5, 2021, and were found deficient pursuant to KRS 13A.336 including:
    1. 803 KAR 2:180, Labor Cabinet, Department of Workplace Standards, Recordkeeping, reporting, statistics;
    2. 921 KAR 3:025, Cabinet for Health and Family Services, Department for Community Based Services, Technical requirements; and
    3. 921 KAR 3:025E, Cabinet for Health and Family Services, Department for Community Based Services, Technical requirements, emergency.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, each administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of June 29, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, any of the administrative regulations referenced in subsection (1) of this section for a period beginning on March 30, 2021, and concluding on June 1, 2022.
  4. A list of the administrative regulations referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2021 ch. 165, § 1, effective June 29, 2021.

13A.340. Notification of administrative regulations filed prior to July 14, 1984, which are to remain in effect — Procedure — Repeal of administrative regulations for which no notice is received by July 1, 1985. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 34, effective April 13, 1984) was repealed by Acts 1990, ch. 516, § 32, effective July 13, 1990.

13A.341. Unenforceability of 702 KAR 1:195E, Face Coverings in School Facilities, after September 9, 2021.

  1. The General Assembly finds that 702 KAR 1:195E, Face Coverings in School Facilities, was found deficient but remained effective notwithstanding the finding of deficiency pursuant to KRS 13A.330 , on or after August 17, 2021, and before September 9, 2021, as evidenced by records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable five (5) working days from September 9, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the administrative regulation referenced in subsection (1) of this section for a period beginning on September 9, 2021, and concluding on June 1, 2023.
  4. The administrative regulation referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2021 1st Ex. Sess. ch. 4, § 2, effective September 9, 2021.

13A.342. Unenforceability of 902 KAR 2:211E, Covering the Face in Response to Declared National or State Public Health Emergency, as of September 9, 2021.

  1. The General Assembly finds that 902 KAR 2:211E, Covering the Face in Response to Declared National or State Public Health Emergency, was found deficient and then later withdrawn by the agency on June 11, 2021, as evidenced by the records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of September 9, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the administrative regulation referenced in subsection (1) of this section for a period beginning on September 9, 2021, and concluding on June 1, 2023.
  4. The administrative regulation referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2021 1st Ex. Sess. ch. 5, § 10, effective September 9, 2021.

13A.343. Unenforceability of 902 KAR 2:212E, Covering the Face in Response to Declared National or State Public Health Emergency, as of September 9, 2021.

  1. The General Assembly finds that 902 KAR 2:212E, Covering the Face in Response to Declared National or State Public Health Emergency, was found deficient but remained effective notwithstanding the finding of deficiency pursuant to KRS 13A.330 , on or after March 30, 2021, and before September 9, 2021, as evidenced by the records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of September 9, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the administrative regulation referenced in subsection (1) of this section for a period beginning on September 9, 2021, and concluding on June 1, 2023.
  4. The administrative regulation referenced in subsection (1) of this section shall be available  to the public, in the office of the Legislative Research Commission's regulations compiler.

HISTORY: 2021 1st Ex. Sess. ch. 5, § 11, effective September 9, 2021.

13A.344. Unenforceability of 902 KAR 2:213E, Childcare Standards for Covering the Face in Response to Declared National or State Public Health Emergency, as of September 9, 2021.

  1. The General Assembly finds that 902 KAR 2:213E, Childcare Standards for Covering the Face in Response to Declared National or State Public Health Emergency, was found deficient but remained effective notwithstanding the finding of deficiency pursuant to KRS 13A.330 , on or after March 30, 2021, and before September 9, 2021, as evidenced by the records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of September 9, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the administrative regulation referenced in subsection (1) of this section for a period beginning on September 9, 2021, and concluding on June 1, 2023.
  4. The administrative regulation referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission's regulations compiler.

HISTORY: 2021 1st Ex. Sess. ch. 4, § 1, effective September 9, 2021.

13A.3441. Unenforceability of proposed amendment to 803 KAR 25:190, relating to utilization review and medical bill audits, as of April 14, 2022.

  1. The General Assembly finds that a proposed amendment of 803 KAR 25:190, relating to utilization review and medical bill audits, filed with the Commission on February 18, 2021, by the Labor Cabinet, Department of Workers’ Claims, was found deficient on or after March 30, 2021, and before January 4, 2022, but determined to become effective notwithstanding the finding of deficiency pursuant to KRS 13A.330 , as evidenced by records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding:
    1. If the proposed amendment of 803 KAR 25:190 referenced in subsection (1) of this section has not been adopted on or before April 14, 2022, the proposed amendment shall expire as of April 14, 2022; or
    2. If the proposed amendment of 803 KAR 25:190 referenced in subsection (1) of this section has been adopted on or before April 14, 2022, 803 KAR 25:190 shall be null, void, and unenforceable as of April 14, 2022.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the proposed amendment of 803 KAR 25:190 referenced in subsection (1) of this section for a period beginning on January 4, 2022, and concluding on June 1, 2023.
  4. The proposed amendment referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2022 ch. 217, § 1, effective April 14, 2022.

13A.3442. Unenforceability of 702 KAR 1:192E, District Employee Quarantine Leave, as of April 14, 2022.

  1. The General Assembly finds that 702 KAR 1:192E, District Employee Quarantine Leave, was found deficient pursuant to KRS 13A.330 , on or after March 30, 2021, and before April 14, 2022, as evidenced by the records of the Legislative Research Commission.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of April 14, 2022.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, the administrative regulation referenced in subsection (1) of this section for a period beginning on January 4, 2022, and concluding on June 1, 2023.
  4. The administrative regulation referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2022 ch. 217, § 2, effective April 14, 2022.

13A.345. Expiration of administrative regulations — Enactment of regulations into statute. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 499, § 9, effective July 15, 1986) was repealed by Acts 1988, ch. 71, § 11, effective March 16, 1988.

13A.346. Quadrennial review of administrative regulations by LRC subcommittee — Schedule. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 8, effective July 15, 1988) was repealed by Acts 1994, ch. 37, § 1, effective July 15, 1994.

13A.347. Assignment by LRC to subcommittee — Public meeting — Reports required — Expiration of administrative regulations — Enactment into statute — Prohibition concerning promulgation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 9, effective July 15, 1988) was repealed by Acts 1994, ch. 37, § 1, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). Under KRS 446.260 , the repeal of this section in 1994 Ky. Acts ch. 37 prevails over its amendment in 1994 Ky. Acts ch. 486.

13A.350. Application of chapter.

  1. The provisions of this chapter shall apply to all grants of authority to promulgate administrative regulations and no administrative regulation shall be promulgated or adopted unless in conformity with the provisions of this chapter.
  2. The provisions of this chapter shall apply to all other acts passed by the 1984 Session of the General Assembly.
  3. Any grant of authority for an administrative body to promulgate rules or standards is repealed, unless authorized by this chapter.
  4. Any grant of authority for an administrative body to promulgate administrative regulations which is in conflict with the provisions of this chapter shall be repealed to the extent that it conflicts with the provisions of this chapter, regardless of whether the grant of authority is broader than that contained in this chapter.
  5. Any existing statute and any act passed by the 1984 Session of the General Assembly which is in conflict with the provisions of this chapter is repealed to the extent of the conflict.

History. Enact. Acts 1984, ch. 417, § 35, effective April 13, 1984.

CHAPTER 13B Administrative Hearings

13B.005. Short title for KRS 13B.005 to 13B.170.

KRS